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

FINRA® SIE Exam Info

FINRA® SIE Exam Info

FINRA<sup>®</sup> SIE Exam Info

The Financial Industry Regulatory Authority (FINRA) is planning to restructure the testing for nine of the securities series licenses after identifying that they contain common content. The proposal would allow for an individual to take an industry core exam, to be called the Securities Industry Essentials (SIE) Exam, without first being sponsored by an industry member firm, as is now currently required. Because the SIE Exam will be the first step for a majority of new candidates to the industry, it will be essential for corporations and individuals to be informed of the proposed changes and understand how it affects the industry.

Kaplan is committed to keeping you informed and intends to be ready with study materials for the SIE, as well as for the Series 6 and 7 specialized knowledge exams in time for the implementation.

Learn more about the SIE Exam and stay up-to-date on the latest developments below:

A Candidate's Complete Guide to the New SIE Exam - Kaplan Financial EducationA Candidate's Complete Guide to the New SIE Exam

The new Securities Industry Essentials (SIE) exam will cover common content for nine FINRA series exams. In this free guide, you will learn how the new licensing process will work, the rationale for the change, proposed SIE exam content, and potential changes to hiring and recruiting practices for firms.

 

 

FINRA SIE Exam Roll-Out Updates - Kaplan Financial EducationSecurities Industry Essentials (SIE) Qualification Exam Update from FINRA's Annual Conference

Kaplan Senior Editor and Instructor Mark Sanchirico provides a Security Industry Essentials exam update from FINRA's annual conference. Find out what FINRA is saying about their timeline for implementation.

 

FINRA SIE Exam Roll-Out Updates - Kaplan Financial EducationFINRA Announces Updates to the Securities Industry Essentials (SIE) Exam Roll-Out

FINRA recently announced updates to the roll-out of the Securities Industry Essentials (SIE) Exam. Kaplan Financial Education has put together these 14 takeaways you need to know about how the SIE Exam will impact you in this article.


 

FINRA SIE Exam Update from ARM Conference - Kaplan Financial EducationFINRA Securities Industry Essentials (SIE) Exam Update from ARM Conference

Kaplan Financial Education team members attended the Association of Registration Management’s (ARM) 2016 conference in Florida to learn more about upcoming changes to the exam process for Securities industry professionals. Find out what you need to know in this article.

 

 

FINRA SIE Exam and You - Kaplan Financial EducationHow Will The Proposed FINRA Securities Industry Essentials (SIE) Exam Affect Licensing?

You may have heard of the new Securities Industry Essentials (SIE) exam, but what is it and how does it affect you? FINRA announced this proposed new exam, which would dramatically change the way individuals qualify to become registered.

 

 

SIE Exam and Representative-Level Qualifications Proposal: Member Comments - Kaplan Financial EducationSecurities Industry Essentials (SIE) Exam & Representative-Level Qualifications Proposal: Member Comments

FINRA's "requests for comments" period regarding the proposal to restructure the current representative-level qualification examination program ended in July. This article contains a review of the proposal and SIE Exam feedback from members.

 

 

SIE Exam & Top-Off Exam Update - Kaplan Financial Education

Qualification Examinations Restructuring: Securities Industry Essentials (SIE) Exam & Top-Off Exam Update

Get updated information about the new Securities Industry Essentials (SIE) Exam proposal from FINRA. In this article, Mark Sanchirico details the proposal and what it means for the industry.

 

 

FINRA Proposes New Industry Exam Format - Kaplan Financial Education

FINRA Proposes New Industry Licensing Exam Format - Kaplan Has You Covered!

FINRA has proposed a new securities industry licensing exam format. Find out more about this proposal from Mark Sanchirico and what it will mean for current and future candidates and registered personnel.