FINRA Securities Industry Essentials SIE Introductory-Level Exam Prep Training Course & Study Materials
Prepare for your Securities Industry Essentials (SIE) exam with our comprehensive online training program. We offer the most efficient and effective training solutions to ensure you master the difficult concepts and have the confidence to pass your exam the first time. Browse a variety of study packages available to fit every learning preference and budget.
*Actual price may vary depending on package selection.
FINRA Securities Industry Essentials SIE Introductory-Level Exam Prep Training Course & Study Materials
Whether you learn best by reading, video, taking notes, or live instruction, we’ve got you covered. We offer flexible learning packages with access to a variety of study tools for every learning preference.
| Features |
LIVE ONLINE PACKAGE
|
ONLINE COURSE PACKAGE
|
TEXTBOOK PACKAGE
|
|---|---|---|---|
Hard-Copy Textbook
|
 |
|
|
|
Personalized Study Plan
|
|
|
|
|
Best Practice Guide
|
|
|
|
|
Competency Exams
|
|||
|
Practice Question Sets
|
|
|
|
|
Benchmark Final
|
|
|
|
|
Standard Final Exams
|
|
|
|
|
Custom Exam Generator
|
|
|
|
|
Phone Instructor Support
|
|
|
|
|
Glossary and Acronyms
|
|
|
|
|
TC Critical Facts
|
|||
|
Real-Time Content Updates
|
|
|
|
|
Report Center
|
|
|
|
|
On-Demand Video Lectures
|
|
|
|
|
Checkpoint Exams
|
|
|
|
|
eBook
|
|
|
|
|
SpotCheck Quizzes
|
|
|
|
|
Online Instructor Support
|
|
|
|
|
Online Flashcards
|
|
|
|
|
Live Focused Webinars
|
 |
*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com
Virtual Training Schedule - Live Webinars
Reduce the stress of self-study with the Live Online Package and live focused webinars. Available with package purchase, these webinars break down the most challenging exam topics, equipping you to confidently tackle your exams.
Explore our full virtual training schedule below.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Equity & Bonds
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Options & Investment Companies
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
SIE: Markets & Margins
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
Session dates are subject to change. Access Live Focused Review Webinars with the purchase of a Live Online Package.
Additional Study Materials
Looking to supplement the Textbook Package? Browse our additional study materials. The following Study Materials are included in the Online Course and Live Online Study Packages.
.png)
Digital Flashcards
Quiz your knowledge of key concepts! Access digital flashcards without ever leaving your course to aid in studying and improving retention. Included in the Live Online and Online Course Packages.
Learn MoreExam Details
Everything you need to know about the exam before you register and start your preparation journey.
.png)
80
Multiple-Choice Questions
1h 45m
Time to Complete
.png)
70%
Passing Score Required
.png)
$80
Exam Cost
What is the Securities Industry Essentials Exam?
The SIE exam assesses a candidate's basic knowledge of the securities industry. The Financial Industry Regulatory Authority (FINRA) requires that all candidates 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's SIE Exam Content Outline.
What are the topics covered on the SIE exam?
The SIE exam, an introductory-level test, consists of 75 questions and is divided 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
Section 1: Knowledge of Capital Markets
- Regulatory Entities and Market Participants
- Securities and Exchange Commission (SEC)
- Self-Regulatory Organizations (SROs): FINRA, MSRB, CBOE
- Other regulators: Federal Reserve, FDIC, SIPC, IRS, NASAA
- Market Participants
- Investors: retail, institutional, accredited
- Broker-dealers: introducing, clearing, prime
- Investment advisers, municipal advisors
- Issuers, underwriters, traders, market makers
- Custodians, trustees, transfer agents
- Depositories and clearing corporations (e.g., DTCC, OCC)
- Market Structure
- Primary, secondary (OTC, electronic, physical), third, and fourth markets
- Economic Factors
- Monetary vs. fiscal policy
- Federal Reserve tools and interest rates
- Business cycles and economic indicators
- Impact on bond and equity markets
- International factors: GDP, GNP, exchange rates
- Offerings
- Public vs. private offerings
- IPOs, secondary and follow-on offerings
- Distribution methods: firm commitment, best efforts
- Offering documents: prospectus, official statements
- Regulatory filings and exemptions
Section 2: Understanding Products and Their Risks
- Types of Securities
- Stocks: common and preferred
- Bonds: corporate, municipal, government
- Mutual funds, ETFs, REITs
- Options and other derivatives
- Investment Risks
- Market risk, interest rate risk, credit risk
- Liquidity risk, inflation risk, reinvestment risk
- Political and currency risk
- Product Features
- Voting rights, dividends, yields
- Call features, convertibility, tax treatment
- Suitability and risk/reward profiles
Section 3: Understanding Trading, Customer Accounts and Prohibited Activities
- Trading Processes
- Order types: market, limit, stop
- Trade settlement and clearance
- Role of market makers and exchanges
- Customer Accounts
- Account types: cash, margin, retirement
- Account registration and documentation
- Suitability and KYC (Know Your Customer)
- Prohibited Practices
- Insider trading
- Manipulation and fraud
- Unauthorized transactions
- AML (Anti-Money Laundering) and SAR (Suspicious Activity Report) requirements
Section 4: Overview of the Regulatory Framework
- Regulatory Bodies
- SEC, FINRA, MSRB, CFTC
- Key Regulations
- Securities Act of 1933
- Securities Exchange Act of 1934
- Investment Company Act of 1940
- Investment Advisers Act of 1940
- Registration and Reporting
- Form U4 and CRD system
- Continuing education requirements
- Disciplinary actions and enforcement
Explore More Securities Licensing Courses
Unlock your career. Earn your next securities license.
Series 6
Prepare for your FINRA Series 6 Representative Level Qualification Exam with our comprehensive online training program. We offer the most efficient and effective training solutions to ensure you master the difficult concepts and have the confidence to pass your exam the first time. Browse a variety of study packages available to fit every learning preference and budget.
Learn More
Series 7
Prepare for your FINRA Series 7 Representative Level Qualification Exam with our comprehensive online training program. We offer the most efficient and effective training solutions to ensure you master the difficult concepts and have the confidence to pass your exam the first time. Browse a variety of study packages available to fit every learning preference and budget.
Learn More
Series 99
Prepare for your FINRA Series 99 Exam with our comprehensive online training program. We offer the most efficient and effective training solutions to ensure you master the difficult concepts and have the confidence to pass your exam the first time. Browse a variety of study packages available to fit every learning preference and budget.
Learn More.png?t=1754063329999&width=40&name=Img%20(6).png){kind=small}