Securities Industry Essentials (SIE) Exam Prep

The securities industry, which includes investment banking, trading, and asset management, continues to demonstrate strong growth with a projected 7% growth rate by 2023, according to the U.S. Bureau of Labor Statistics. This growth is mainly fueled by increasing complexity in financial products, technological advancement, and demand for personalized wealth management services. The industry is also undergoing significant transformation with the rise of fintech, algorithmic trading, digital assets, and traditional roles being redefined by artificial intelligence and automation. With 41,000 jobs projected annually, now is a great time to enter this career field!

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. Through both a written and video 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 SIE course curriculum emphasizes critical concepts like suitability requirements, customer accounts, trading practices, and regulatory frameworks. You will also have access to interactive quizzes and performance-tracking tools to help you strengthen your knowledge, as well as memory aids and test-taking strategies to help you tackle the 75 multiple-choice questions within the 1-hour and 45-minute time limit. Passing the SIE exam is an important first step in earning your SIE license!

This is not an instructor-facilitated course. However, support will be provided through email, online forms, and phone calls.

Requirements:

Hardware Requirements:

• This course can be taken on either a PC, Mac, or Chromebook.

Software Requirements:

• PC: Windows 10 or later.
• Mac: macOS 12 or later.
• Browser: The latest version of Google Chrome or Mozilla Firefox is preferred. Microsoft Edge and Safari are also compatible.
• Microsoft Word Online
• Adobe Acrobat Reader
• Software must be installed and fully operational before the course begins.

Other:

• Email capabilities and access to a personal email account.

Instructional Material Requirements:

The instructional materials required for this course are included in enrollment and will be available online.