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Your Guide to the SIE Exam

The Securities Industry Essentials (SIE) Exam is the biggest opportunity in over 25 years for new professionals in the securities industry. Launching October 1, 2018, this new regulatory exam will significantly modify the licensing process to qualify for future employment. Learn everything you need to know about these upcoming changes.

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What is the SIE Exam?

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.

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An Entry Level Exam
The SIE Exam will be an entry level exam compromised of common core content across several current representative licensing exams.

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Requires No Sponsorship
Consisting of 75 questions + plus 10 pre-test questions, the content tested on the SIE exam will be information that does not frequently change.

Time

More Flexibility for You
A passing score on the SIE exam will be valid for four years from the date you pass the exam, leaving you plenty of time to take your representative-level exam.

What the SIE Exam Means for you?

On October 1, 2018, the current representative-level qualification exam program will be amended to consist of two test elements: The goal of this new format is to eliminate duplicative testing of general securities knowledge on exams. 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 as outlined below.

CURRENT EXAMSREGISTRATION CATEGORYBEGINNING OCTOBER 1ST
Series 6 (100 questions)  Investment Company and Variable Contract Products Representative (IR)SIE (75 questions + 10 pre-test questions) + Specialized Series 6 (50 questions)
Series 7 (250 questions)General Securities Representative (GS)SIE (75 questions + 10 pre-test questions) + Specialized Series 7 (125 questions)
Series 22 (100 questions)Direct Participation Programs Representative (DR)SIE (75 questions + 10 pre-test questions) + Specialized Series 22 (50 questions)
Series 57 (125 questions)Securities Trader (TD)SIE (75 questions + 10 pre-test questions) + Specialized Series 57 (50 questions)
Series 79 (175 questions)Investment Banking Representative (IB)SIE (75 questions + 10 pre-test questions) + Specialized Series 79 (75 questions)
Series 82 (100 questions)Private Securities Offerings Representative (PR)SIE (75 questions + 10 pre-test questions) + Specialized Series 82 (50 questions)
Series 7 (250 questions) + Series 86 Part I: Analysis (100 questions) + Series 87 (50 questions) Research Analyst (RS)SIE (75 questions + 10 pre-test questions) + Specialized Series 86 Part I: Analysis (100 questions) + Specialized Series 87 Part II: Regulatory Administration and Best Practices (50 questions)
Series 99 (100 questions)Operations Professional (OS)SIE (75 questions+ 10 pre-test questions) + Specialized Series 99 (50 questions)

Why Choose ExamFX for your SIE Exam Training?

Tools for Every Learning Style

Our ability to accommodate a variety of different learning styles and adaptive learning technology ensures that you’ll be prepared for exam day.

Rich, Interactive Training

We offer a complete training program for licensing exams. With the latest technologies, we deliver the industry’s most complete prelicensing training.

Career Advancement

Financial Services Candidates will be provided with opportunities to network with ExamFX Partners in the industry after passing the SIE exam.



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

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