Frequently Asked Questions

What is the main difference between the SIE exam and the Series 6 or 7 Top-Off exams?

The SIE or Securities Industry Essentials exam will assess a candidate’s 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. The Top-Off exam will test knowledge specific to the day-to-day activities, responsibilities and job functions of representatives.