It’s Never Been Easier to Get Started in the Securities Industry.


Have you dreamed of a lucrative career on Wall Street, but thought that the barriers to entry were too high? As of October 1, 2018, that bar was lowered a bit. You may have heard that the qualifications process for entering the securities industry received a major makeover. The former Series Exams (i.e., Series 6, Series 7) were replaced by a two-step process: The Securities Industry Essentials (SIE) exam and a Specialized Knowledge Exam (SKE), or “top-off” exam, specific to the area of the industry the candidate is looking to enter.

This has already had a big impact on industry hiring practices — candidates no longer need to be sponsored by a FINRA member firm to begin the registration process. Anyone can schedule to sit for the SIE exam. Passing the SIE alone does not qualify one to register with FINRA — candidates still need to be sponsored by a member firm to sit and take the appropriate top-off exam (other requirements, such as fingerprinting and background checks, still remain). The game changer is that job candidates with no prior industry experience, whether recent college grads or those looking to switch careers, can now take the first step towards registration on their own. This allows a candidate to demonstrate their desire and sincerity to their potential employers — a chance to stand out from the crowd. Employers are more likely to hire from this “prequalified” pool of job seekers.

FINRA seems to endorse this new hiring model. Not only can anyone 18 years of age or older sit for the SIE, but a passing score is valid for four years, giving candidates plenty of time to land that dream job. The fee to take the SIE exam is only $60 (far less than the previous $100 fee to take the Series 6 and $305 for the Series 7).

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We are seeing students succeed. Students tell us test preparation helps and that they felt fully prepared for their exams. So, what’s next? Study, register, PASS!

STUDY: Click here to order our industry-leading SIE study materials that include:

  • Online self-study modules
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REGISTER: Go to www.finra.org/industry/essentials-exam. Any person wishing to take the SIE can establish an account, pay for the SIE, and then proceed to the testing center website (prometric.com) to schedule their test.

PASS: At the time of this writing, and based on feedback by our students, everyone who has achieved our Green Light status has passed the exam.

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