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

Partner with Kaplan Financial for Securities Licensing

General Securities Curriculum for Universities

Kaplan Financial Education offers a variety of securities licensing exam prep materials tailored to fit any learning style and schedule. The strength of our experience lies in our full-time editorial team who averages over 25 years of industry experience and exclusively focus on rule changes, exam changes, and content accuracy.

Securities Industry Essentials (SIE) Exam

The Financial Industry Regulatory Authority (FINRA®) revamped the way an individual will begin their career in the financial services industry, which opens up an opportunity to universities who are looking to help students enter the securities licensing industry. As of October 2018, all new representative-level applicants are required to pass a general knowledge examination, the Securities Industry Essentials (SIE) exam, in order to become registered to sell securities. Individuals no longer have to be sponsored by a firm in order to sit for this entry-level exam. University students will be able to sit for the SIE exam, and then will need to be associated with a FINRA-regulated firm to be eligible to take the qualification exams for their respective series license.

Universities can give their students the an advantage for career placement by preparing them for the SIE exam. They could choose to add highly sought-after educational content to their current course curriculum or opt to provide Kaplan’s exam prep content outside of their curriculum. In addition to custom SIE preparation courses, Kaplan has prepared content and study materials to help students prepare for the Series 6 or Series 7 top-off qualification exams.

Providing SIE education or exam prep programs provides many benefits to universities, including:

  • Higher job placement for their students entering the financial services industry
  • A new revenue stream resulting from new programs
  • The opportunity to partner with financial services firms to provide a steady stream of highly qualified candidates

The SIE Exam will cover common content that is currently on nine of the series exams, including the following topics:

  • Knowledge of Capital Markets
  • Understanding Products and Their Risks
  • Understanding Trading, Customer Accounts, and Prohibited Activities
  • Overview of the Regulatory Framework

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