About The SIE Exam

The Securities Industry Essentials® (SIE®) Exam is a FINRA exam for prospective securities industry professionals, made up of one exam split into four sections.

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What Does The SIE Exam Cover?

The SIE Exam is an introductory-level exam, designed to assess a candidate’s knowledge of basic securities industry information. This exam covers the concepts that are fundamental to working in the industry, such as the types of products and their risks, the structure of the securities industry markets, and regulatory agencies and their functions.  

What Happens After I Pass?

But remember - passing the SIE alone does not qualify you to practice in securities business, at a firm. In order to become registered to engage in securities business, an individual must pass the SIE and then a firm-sponsored qualification exam appropriate for the type of business you plan to work in.

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