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Manager's Guide to the Securities Industry Essentials (SIE) Exam

The changes to FINRA's Securities Industry licensing process, with the introduction of the SIE and Top-Off exams, are happening on October 1, 2018. We are completely prepared to be your organization's partner through this transition, with our new securities training products and support materials.

Learn everything you need to know about these upcoming changes and our new training programs by scheduling a demonstration today.

What is the SIE Exam? And what does it mean for you?

On October 1, 2018, the current representative-level qualification exam program will be amended to consist of two test elements: The SIE and Top-Off exams. The SIE exam will be an entry level exam comprised of common core content across several current representative licensing exams. The goal of this new format is to eliminate duplicative testing of general securities knowledge on exams. The most significant impact of this new licensing process will be the ability to take the SIE exam without sponsorship from a member firm. Because of this, numerous new candidates will now have the opportunity for a position in the industry.

All potential representative-level registrants will be required to pass the SIE exam and an appropriate specialized knowledge, or Top-Off exam, to reflect their particular registered role to become eligible for registration with a broker/dealer. The Top-Off exams will include the Series 6, 7, 22, 57, 79, 82, 86, 87 and 99 exams. Learn more by downloading the SIE Ebook below.



Want to learn more about the upcoming changes the SIE exam will bring?

  • Download our free Ebook "Getting to know the Securities Industry Essentials (SIE) Exam and What it Means for You."

     

    Download Now ›

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Why Choose ExamFX for your Securities Training Partner?

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Manager Focused Candidate Tracking

Track each learners' progress through real-time dashboards and emails

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Integrated SIE and
Top-Off Trainings

Candidates gain flexibility, reduce overall study time and increase pass-rates

 

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Personalized Candidate Study Materials

Customized study materials aligned with your organizations' onboarding timeline

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Custom Live Training Sessions

Train new candidates together in expert-led online or in-person group sessions

New ExamFX Securities Training Programs

Want to know more about our new Securities Training Program offering?
Select one of the exam prep product pages you'd like to learn more about below to see additional details, pricing and available packages.

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