Tag: Securities Industry Essentials

SIE exam Graphics

What Is the Securities Industry Essentials Exam (SIE)?

What Is the Securities Industry Essentials Exam (SIE)?     The Securities Industry Essentials (SIE) Exam is a new, introductory-level FINRA exam for prospective industry professionals. Its purpose is to assess a candidate’s basic knowledge of securities industry topics fundamental to working in the…

How will the SIE Benefit Your Employees?

When first coming on board working for a financial firm there’s an onboarding process during which associate is provided mandatory information regarding his job responsibilities. Due to this process, the employee is clear as to his role, but may be somewhat uncertain as to the functions…

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