securities industry essentials exam for dummies pdf

Regulatory entities and agencies such as SEC, SROs and other regulatory bodies and market participants.

Within it, you'll be tested on content such as: The first section composes 16 percent - or 12 questions - of your exam. What Is On The FINRA SIE Exam?The Securities Industry Essentials (SIE) examination consists of 85 multiple-choice questions covering the topics listed below. More information about the Securities Industry Essentials Exam is provided at the bottom of this page. Passing the SIE exam should make it easier to find a job in the securities industry as you have proven mastery of the essentials, versus the old FINRA rules where you needed to be employed or otherwise sponsored by a FINRA member in order to take the Series 7 exam. The FINRA SIE exam is basically an introductory-level exam that assesses a candidate's knowledge of basic securities industry information and concepts fundamental to working in the industry, such as types of products and their risks, the structure of the securities industry markets, regulatory agencies and their functions, and prohibited practices.Įssentially, to obtain a Series 6, 7, 79, or 99 license, you must pass the Securities Industry Essentials exam PLUS pass the applicable Series exam (now referred to as 'Top Off' exams). Securities Licensing: About Our Securities Industry Essentials Exam Prep CoursesThe FINRA Securities Industry Essentials (SIE) exam is a requirement to obtaining a Series 6, 7, 79, or 99 license. Securities Industry Essentials (SIE) - Online Package.

Securities industry essentials exam for dummies pdf