Kaplan University School of Professional and Continuing Education Kaplan University School of Professional and Continuing Education

A Candidate's Complete Guide to the New SIE Exam

After identifying nine series exams with common content (6, 7, 22, 57, 79, 82, 86/87, 99), FINRA has decided to restructure their licensing process. The common content will now be tested in the new Securities Industry Essentials (SIE) exam. Because the SIE exam will now be the first step for the majority of new candidates in the industry, it will be the focal point for making sure you are well-prepared for the significant fiscal, legal, and ethical responsibilities that come with these licenses.

In this free guide to the new SIE exam, you will learn:

  • How the new securities licensing process will work
  • The rationale for the change
  • Proposed SIE exam content
  • Potential changes to hiring and recruiting practices for firms