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The SIE is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to prospective employers. Association with a firm is not required to take the SIE, and results are valid for four years.
Following are FAQs about the Securities Industry Essentials® (SIE®) Exam and exam restructuring. Click on the links below to view all sections of the FAQs. On This Page Enrollment and Eligibility Exam Scoring, Results and Validity Registration Retired Exams Enrollment and Eligibility 1.
The Security Industry Essentials ® (SIE ®) Exam is a FINRA exam for anyone considering a career in the financial services industry. This introductory-level exam assesses knowledge of basic industry information, including fundamental concepts such as types of products and their risks; the structure of the markets, regulatory agencies and their ...
The Securities Industry Essentials (SIE) exam assesses a candidate’s basic knowledge of the securities industry. The exam focuses on industry terminology, securities products, the structure and function of the markets, regulatory agencies and their functions, and regulated and prohibited practices.
Test Your SIE Knowledge Get firsthand experience with a free practice test for the Security Industry Essentials® (SIE®) Exam. Answer 75 multiple-choice questions that are similar to those you might find on the SIE exam.
Candidates must pass the Securities Industry Essentials (SIE) exam and the Series 7 exam to obtain the General Securities Representative registration. For more information about the SIE and Series 7 exams, refer to FINRA Rule 1210 and FINRA Rule 1220(b)(2).
Users with Form U4 filing entitlement will have access to the SIE section on the Web CRD home page and can enroll individuals to take the SIE exam by selecting the SIE Enrollments/Results link on the Web CRD system . Users with View Individual entitlement can view the SIE enrollments paid for by the firm but are restricted from enrolling ...
SIE waivers and exemptions are conditional upon the applicant passing an appropriate qualification exam. An applicant will have a maximum of two attempts (within the 90 days) to pass the qualification exam.
SIE. 1) Upon passing or receiving a credit or a waiver for the SIE exam, the exam is valid for four years to qualify an individual for a registration. 2) Validity may be maintained beyond four years by obtaining a registration that the SIE is a qualifier for:
Candidates must pass the Securities Industry Essentials (SIE) exam and the Series 86 and 87 exams to obtain the Research Analyst registration. For more information about the SIE and Series 86 and 87 exams, refer to FINRA Rule 1210 and FINRA Rule 1220(b)(6).
