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FINRA® SIE Exam Info

FINRA<sup>®</sup> SIE Exam Info

The Financial Industry Regulatory Authority (FINRA®) has restructured the testing for nine of the series license 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.

 

 

Securities Industry Essentials (SIE) Exam Frequently Asked Questions:

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Learn more about the SIE Exam 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, SIE exam content, and potential changes to hiring and recruiting practices for firms.

 

 

Woman preparing for the SIE Exam studies on her tabletFrequently Encountered SIE Exam Roadblocks and Solutions

Now that students have begun testing on the new SIE exam, we’re learning more about the things that are tripping up test takers. In this article, we break down the roadblocks and provide some tips to overcome them. 


 

 

Candidate for the SIE Exam looks online to answers for her questionsSecurities Industry Essentials (SIE) Exam Frequently Asked Questions for Candidates

Are you looking for answers to your questions about the new Securities Industry Essentials (SIE) exam and its effect on the securities licensing process? We've been fielding questions from students ever since FINRA first announced the new exam. We've compiled the most popular questions and answers in this article to shed light on the new testing process. 


 

How SIE will Change the Series 7 Exam - Kaplan Financial EducationHow Series 7 Has Changed Now that the SIE Exam is Live

 

The Securities Industry Essentials (SIE) exam will blend the general securities knowledge tested in several other exams into a single, entry-point exam. Learn more about how this move will specifically impact the content, structure, and length of the Series 7 examination going forward.

SIE Updates from the 2018 ARM Conference - Kaplan Financial EducationSecurities Industry Essentials (SIE) Exam Update from 2018 ARM Educational Conference

 

Kaplan was also invited to participate in a panel titled “From the Vendor’s Point of View,” at the 2018 ARM Conference where education providers discussed both the challenges and opportunities associated with the implementation of the Securities Industry Essentials (SIE) exam. We’ve outlined the key takeaways in this article. 

 

How SIE will Change the Series 6, 79, and 99 Exams - Kaplan Financial EducationHow Series 6, 79 and 99 Examinations Have Changed Now the SIE Exam is Live

The SEC has approved a proposed rule change to restructure the FINRA representative-level qualification examination programs by intriducing the Securities Industry Essentials (SIE) Exam. Find out how Series 6, 79, and 99 exams were affected.

 


 

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

SEC Announces the Effective Date of the Securities Industry Essentials (SIE) exam

The Securities Exchange Commission released the news we've been waiting for. Find out when the Securities Industry Essentials (SIE) exam will go into effect, and how it will change the process of earning securities licenses in the future.

 

 

A Candidate's Complete Guide to the New SIE Exam - Kaplan Financial EducationSIE Exam Updates from the 2017 FINRA Annual Conference

FINRA has made some big announcements about the roll-out and structure of the SIE exam. Learn more about FINRA's timeline and what the Series exams will look like in this update from Kaplan expert, Bill James.

 

 

 

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.