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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. Set yourself apart from your peers by passing the SIE exam.

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.

Browse SIE Exam Study Options

Select your study package, and pass the SIE exam the first time. Whether you are looking to study for the SIE to set yourself apart from your peers, or whether you already have firm sponsorship and need your Series 6 or Series 7, Kaplan has options for you.

91%

of our SIE exam students have passed the exam.

18,675

students prepared for the SIE exam last year with Kaplan.

SIE Exam Frequently Asked Questions

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

SIE Exam Guide

Everything you need to know about the SIE Exam in one FREE eBook download.