Securities Industry Essentials (SIE) Exam

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What is the Securities Industry Essentials (SIE) Exam?

Have you thought about a career in financial services? FINRA is making it easier for you to enter the Financial Services workforce through the Securities Investment Essentials (SIE) Exam. 

To reduce the overlapping content among exams, the SIE Exam will cover the basic knowledge that can be found on current examinations including:

  • General Securities Representative (Series 7)
  • Investment Company and Variable Insurance Sales Representatives (Series 6)
  • Operations Professionals (Series 99)
  • Security Traders (Series 57)
  • Investment Bankers (Series 79)
  • Research Analysts (Series 86/87)
  • Two new categories of Sales Representatives (Series 22 and 82)

The SIE Exam will not qualify a person to perform any industry activities. Rather, the new exam will become a step to obtain other registrations that can only be achieved with a passing grade on a qualification exam. The SIE Exam can be taken without the sponsorship of a FINRA registered firm.

This is a new exam that will be available October 1, 2018.

How Does Passing The SIE Advance Your Career?



  • Sets you apart from other job applicants (you can add this to your resume).
  • Demonstrates your industry knowledge.
  • Shows firms you are serious about a career in Financial Services.
  • Proves to firms that you can pass a securities exam (firms like to hire candidates who they predict will be successful).


  • The new format allows you to take the exam without sponsorship of a FINRAregistered company.
  • A passing score on the exam is good for four years.
  • Once employed by a FINRA member firm, you will be eligible to sit for any of the registered representative qualification exams.