In order to become registered to engage in securities business, an individual must pass the SIE and a qualification exam appropriate for the type of business the individual will engage in.

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Nov 18, 2024 · The SIE exam is a required qualifications exam administered by FINRA. It tests basic information including products, risks, the structure & function of the securities industry & its …

Feb 10, 2026 · Learn what is the SIE Exam, why FINRA created it, who should take it, and how it fits into the securities licensing process.

Our free SIE study guide covers all of the important topics and includes dozens of review questions. Start your SIE exam prep right here.

SIE Exam test dates are flexible with this info about taking the FINRA exam online. Plus how to change an upcoming SIE Exam date.

Jan 29, 2026 · The Securities Industry Essentials Exam, also known as the SIE Exam, is an entry level examination. It is required for all prospective securities industry professionals.

Beginning June 9, 2023, candidates will need an approved accommodation to schedule an online appointment for an NFA or FINRA exam (other than the SIE). Online appointments scheduled to be …

Jun 3, 2024 · Learn what the SIE Exam is, its purpose, structure, and benefits. Discover how passing the SIE Exam can jumpstart your career in the securities industry.

The Securities Industry Essentials (SIE) exam is available for online test delivery to any candidates with open enrollment windows. Candidates can schedule an online appointment for the SIE exam by …