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Securities Industry Essentials (SIE) Exam

Find information and articles about the restructured FINRA® exam process. Learn more about why the exam was created and how it impacts your study plan.

Exam Restructuring

The Financial Industry Regulatory Authority (FINRA®) has restructured the testing for nine of the series qualification exams (Series 6, 7, 22, 57, 79, 82, 86/87, 99) after identifying that they contain common content. This new structure allows an individual to take an industry core exam, called the Securities Industry Essentials (SIE) exam, without being sponsored by an industry member firm. As of October 1, 2018, FINRA started offering this new SIE exam as the first step for a majority of new candidates to the industry. The SIE exam assesses a candidates knowledge of capital markets, products and their risks, trading, customer accounts and prohibited activities, and the regulatory framework.

Kaplan has information with regards to the restructuring of the exam and commonly asked questions about the SIE exam. To begin preparing for the exam, review our study packages.

SIE Exam Frequently Asked Questions

A full guide to the new Securities Industry Essentials (SIE) exam.

SIE Exam Guide


91%


of our SIE exam students have passed the exam.


18,675


students prepared for the SIE exam last year with Kaplan.