Securities Industry Essentials (SIE) Certification Review ProgramLearning Outcomes

Learning Outcomes

This program will help participants gain a clear understanding of the key concepts needed to pass the SIE examination and develop a solid foundation of relevant financial topics that facilitate subsequent understanding of more advanced topics.

About the SIE Exam

The Securities Industry Essentials (SIE or Essentials) 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.

Passing the Essentials exam alone does not qualify an individual for registration with a FINRA member firm or to engage in securities business. In order to become registered to engage in securities business, an individual must pass the Essentials exam and a qualification exam appropriate for the type of business the individual will engage in. The individual must be associated with a member firm to take a qualification exam.

SIE Essentials exam results are valid for four years.

The Securities Industry Essentials (SIE) Exam Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four sections. The table below lists the allocation of exam questions for each section.

 

Sections

Percentage of Exam Questions

Number of Exam Questions

(1) Knowledge of Captial Markets

16%

12

(2) Understanding Products and Their Risks

44%

33

(3) Understanding Trading, Customer Accounts and Prohibited Activities

31%

23

(4) Overview of Regulatory Framework

9%

7

TOTAL

100%

75

DOWNLOAD THE SIE CONTENT OUTLINE

  • Number of Questions:75
  • Format: Multiple Choice
  • Duration:1 hour and 45 minutes
  • Passing Score:70
  • Cost:$60

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Office: 305.348.4217
Email: epe@fiu.edu
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