Securities Industry Essentials (SIE) Exam


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Will a candidate with an existing representative license be required to take the SIE?
No, but if they change their registration category they will need to pass the appropriate qualification (top-off) exam

If I apply for registration prior to October 1st which exam will I take?
The existing or legacy exam

If I fail a rep exam in September, which exam will I be required to take?
The SIE and the appropriate qualifying exam

Do we recommend a candidate take the legacy exam prior to the changes effective October 1st?
Yes, it is always recommended to take a licensing exam prior to the change

Are there any changes to the state exams or principals exams?
No, these exams will remain as is on October 1

When will I be able to enroll to take the SIE and/or the appropriate qualification (top-off) exam?
On or after October 1st

How can candidates enroll for the SIE?

  • FINRA’s new enrollment system (via will directly link to Prometric
    • Can be used by anyone
  • Through the member firms existing system
    • Can be used for employees of the firm

Will the study time for the SIE and top-off exams be the same as today?
It will depend on the registration category

Will the level of difficulty of the SIE and top-off exams be more or less than current levels?
It will depend on the registration category

When will STC’s SIE course be available for sale?
Early July

What is the cost of STC’s SIE course?
STC will be offering a premier course which includes; a written and online study manual, final exams and progress exams, On-Demand Lectures, flashcards, and Crunch Time Facts for at a special introductory rate of $119.

What is the cost of the new qualification (top-off) exam courses?
We have not finalized the pricing of these courses.

Will there be a class?
Yes, we will be conducting both live, virtual, and private classes for the new qualification exams

Can a student use their existing or legacy study materials for the SIE and /or top-off exams?
No, although there is overlapping content the information in the legacy materials is not separated in a manner which would allow the student to prepare effectively for the new exams.

When will we stop selling the old exams?
If a student needs material for the legacy exams we will have it available for purchase until those exams are no longer available through FINRA.