Securities Industry Essentials (SIE) Exam

Understanding FINRA’s impending exam and how it may affect you.

What is the Securities Industry Essentials Exam?

The 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 industry. The SIE Exam is a FINRA sponsored exam that will be a prerequisite to working within the financial services industry. Unlike traditional securities exams that require an individual to be an employee of a sponsoring firm to take the exam without sponsorship. The exam will not allow an individual to perform a function, but will instead serve as one part in a combination of exams that will be equivalent to the securities exams currently being offered (e.g. Series 6, 7, 57, or 79)

How will it affect you?

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Financial Institutions

The SIE Exam will affect existing employees as well as new recruits, including interns, college students and career changers.

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Non-licensed Employees of Financial Institutions

All individuals will be able to take the SIE Exam with or without Broker Dealer sponsorship. How will this affect your job and what can you expect?

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Career Changers

This exam allows you to see if a career in the financial services industry is right for you and make the necessary steps to word toward your career aspirations. It sets you apart from other job applicants by demonstrating your knowledge and competency to prospective employers.

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Colleges and Universities

Equip your students for a career in finance with our courses. This program is built to provide college students with the knowledge needed to pass FINRA security licensing including the SIE Exam and Series 7 Exam.

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SIE Exam News

Learn about all the most recent news regarding SIE Exam.

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SIE FAQs

Want to learn more details about the program?

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What makes STC uniquely qualified to help you pass the SIE Exam?

STC has been the training experts in the financial industry since the introduction of the very first NYSE exam in 1969. We offer a complete range of learning programs and twice as many courses than our biggest competitors. This experience affords us industry insight that no other firm has and ensures our materials will reflect what can be expected on the SIE Exam.

We have gained the trust and respect of the top 10 banks and top 25 broker dealers in America by helping their candidates pass their exams. In fact, we have the highest pass rates in the industry; 15 to 20 percent higher than national average. We have helped over 1 million candidates pass their exams and launch their financial services careers.

We use a personalized approach to adapt our wide range of products and class options to every budget and preferred study method. This approach, coupled with our genuine interest in your success, keeps us ahead of our competition. We go above and beyond to make sure you pass the first time.