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WHAT IS SIE?

Securities Industry Essentials Exam

Seriously considering a career in financial services?

FINRA (Financial Industry Regulatory Authority) has created a NEW pre-requisite exam for anyone who wishes to become registered with a FINRA member firm.  The SIE exam will help those interested in demonstrating basic industry knowledge to potential employers.

The SIE exam must be taken and passed prior to sitting for the following exams:

  • Series 6: Investment Company Representative

  • Series 7: General Securities Representative

  • Series 22: DPP Representative

  • Series 57: Securities Trader

  • Series 79: Investment Banking Representative

  • Series 82: Private Securities Offerings Rep

  • Series 86/87: Research Analyst

  • Series 99: Operations Professional

THE EXAM

Quick Facts

  • Must be 18+ to take exam

  • Do not have to be associated with a firm to take exam

  • It is multiple choice 

  • 75 questions

  • Duration: 105 minutes

  • Exam is pass or fail

Legal Research and Writing

SIE EXAM BREAKDOWN