The FINRA® Securities Industry Essentials (SIE) exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.
75 multiple-choice questions
1 hours, 45 minutes
The FINRA® Series revised 7, General Securities Representative Qualification "Top-off" Exam, is required of individuals soliciting the purchase or sale of corporate, municipal and U.S. government securities, options, direct participation programs, investment company products, and variable contracts.
On October 1, 2018, FINRA restructured the Series 7 exam. New candidates will be required to pass the Securities Industry Essential (SIE) exam along with a Series 7 Top-off exam to obtain the General Securities Representative Qualification registration. Kaplan has study materials available for the SIE exam as well as the Series 7 exam.
125 multiple-choice questions
3 hours, 45 minutes
Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.
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