FINRA® Securities Industry Essentials SIE Exam Prep Training Course & Study Materials

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Securities Industry Essentials (SIE) Exam Prep

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$129.00

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*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com.

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Effective on May 28, 2024, the Securities and Exchange Commission (SEC) will adopt a new settlement cycle – T+1 (previously T+2) – for most broker-dealer transactions. Read more.

This important industry change will significantly affect SIE course content. Content changes will be integrated into Training Consultants course content on May 17th.

  • If you purchased one of these courses between May 3 -14, 2024, you can contact customer support at 1.800.339.3445 to be upgraded to the latest version, with the newest integrated content, free of charge. 
  • If you purchased one of these courses on or between May 1 and May 3, 2024, the updated content will be added via update points in your course.
  • If you purchased one of these courses before May 1, 2024, the updated content will be available via addendum in your course. ExamFX online courses will be updated on Thursday, May 16th.  

 

SIE Training Course Package Comparison

We offer flexible solutions and packages for every learning preference, specifically designed to help candidates pass their SIE exam. Our training provides a variety of helpful study tools that prepares candidates for success.


PACKAGE COMPARISON

ONLINE COURSE PACKAGE
$149		TEXTBOOK PACKAGE
$129
 ONLINE COURSE PACKAGE
$149		TEXTBOOK PACKAGE
$129
Access Days18090
Hard-Copy Textbook
eBook  

Instruction
On-Demand Video Lectures  
Personalized Study Plan
Best Practice Guide

Multi-Level Testing

  
SpotCheck Quizzes  
Practice Question Sets
Checkpoint Exams  
Benchmark Final
Standard Final Exams
Custom Exam Generator

Support

  
Online Instructor Support  
Phone Instructor Support

Additional Tools

  
Glossary and Acronyms
Online Flashcards  
Real-Time Content Updates
Report Center

View Packages and Pricing​*
*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com.

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What is the Securities Industry Essentials (SIE) exam?

The SIE exam assesses a candidate's basic knowledge of the securities industry. The Financial Industry Regulatory Authority (FINRA) requires that all candidates must pass both the SIE exam and a representative (Rep Level) Top-Off exam. The SIE exam focuses on industry terminology, securities products, the structure and function of the markets, regulatory agencies and their function, and regulated and prohibitive practices.
VIEW FINRA SIE EXAM CONTENT OUTLINE

About the Securities Industry Essentials Exam

What are the topics covered on the SIE exam?

The SIE exam, which is an introductory level exam, consisting of 75 questions and is broken down into four parts. These topics include: 

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

See below for more detailed breakdown or visit FINRA.

Regulatory Entities, Agencies and Market Participants

  • The Securities and Exchange Commission (SEC)
  • Self-regulatory Organizations (SROs)
  • Other Regulators and Agencies
  • Market Participants and their Roles
  • Types of Markets
  • Economic Factors
  • The Federal Reserve Board's Impact on Business Activity and Market Stability
  • Business Economic Factors
  • International Economic Factors
  • Offerings

Understanding Products and Their Risks

  • Equity Securities
  • Debt Instruments
  • Options
  • Packaged Products
  • Municipal Fund Securities
  • Direct Participation Programs (DPPs)
  • Real Estate Investment Trusts (REITs)
  • Hedge Funds
  • Exchange-traded Products (ETPs)
  • Definition and Identification of Risks
  • Strategies for Mitigating Risk

Understanding Trading, Customer Accounts and Prohibited Activities

  • Trading, Settlement and Corporate Actions
  • Orders and Strategies
  • Investment Returns
  • Trade Settlement
  • Corporate Actions
  • Account Types and Characteristics
  • Customer Account Registrations
  • Anti-money Laundering (AML)
  • Books and Records and Privacy Requirements
  • Communications with the Public and General Suitability Requirements
  • Market Munipulation
  • Insider Trading
  • Other Prohibited Activities
  • Financial Exploitation of Seniors
  • Activities of Unregistered Persons
  • Falsifying or Withholding Documents
  • Prohibited Activities related to maintenance of books and records (e.g. falsifying records and improper maintenance/retention of records)

Overview of Regulatory Framework

  • Registration and Continuing Education
  • Employee Conduct
  • Reportable Events

Additional SIE Study Materials

Looking to supplement a learning package that you are already working with? We’ve got you covered.

 

  • SIE Online Flashcards
  • Private Tutoring

View Packages and Pricing​*
*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com.

 

View Packages and Pricing​*
*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com.