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Securities Industry Essentials (SIE) Exam Prep

The Securities Industry Essentials® (SIE®) Exam is a FINRA exam for prospective securities industry professionals. This introductory-level exam assesses your 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. This course will prepare you to take the SIE exam.

Securities-Industry-Essentials-SIE
$550.00 (USD)
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Overview

The securities industry, encompassing investment banking, trading, and asset management, continues demonstrating strong growth. According to the U.S. Bureau of Labor Statistics, employment in securities, commodities, and financial services is projected to grow around 7% by 2033, fueled by increasing complexity in financial products, technological advancement, and demand for personalized wealth management services. With 41,000 jobs projected annually, now is a great time to enter this career field as the industry is undergoing significant transformation with the rise of fintech, algorithmic trading, and digital assets. At the same time, traditional roles are being redefined by artificial intelligence and automation.

The Securities Industry Essentials® (SIE®) Exam Prep course equips you with the knowledge and strategic approach needed to pass this critical Financial Industry Regulatory Authority (FINRA) qualification exam. The course systematically covers all major exam topics, including types of securities products, risks, regulations, prohibited practices, and market structure.

The course content is provided in text and video to optimize your learning experience. You will learn key security industry fundamentals through practice questions and full-length mock exams that mirror the live test format and difficulty. The curriculum emphasizes critical concepts like suitability requirements, customer accounts, trading practices, and regulatory frameworks while providing memory aids and test-taking strategies to help you tackle the 75 multiple-choice questions within the 1 hour and 45-minute time limit. You will also have access to interactive quizzes and performance-tracking tools to help you strengthen weak areas.

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