FINRA's Securities Industry licensing process, with the introduction of the SIE and Top-Off exams, occured 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 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 was 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 duplicate testing of general securities knowledge on exams. The most significant impact of this new licensing process is the ability to take the SIE exam without sponsorship from a member firm. Because of this, numerous new candidates now have the opportunity for a position in the industry.
All potential representative-level registrants are required to pass the SIE exam and an appropriate specialized knowledge, or Top-Off exam, to become eligible for registration with a broker/dealer. The Top-Off exams include the Series 6, 7, 22, 57, 79, 82, 86, 87 and 99 exams.
Learn more by downloading the SIE Ebook below.
- Download our free Ebook "Getting to know the Securities Industry Essentials (SIE) Exam and What it Means for You."
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Integrated SIE and
Candidates gain flexibility, reduce overall study time and increase pass-rates
Personalized Candidate Study Materials
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Train new candidates together in expert-led online or in-person group sessions
New ExamFX Securities Training Programs
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