Passing the FINRA Securities Industry Essentials (SIE) exam is the first step to entering the securities industry and serves as the corequisite to qualification licensing exams, i.e., Series 6, 7, and 79. This SIE exam preparation course is ideal for students and career changers seeking to enter the financial services industry. No experience working in the securities industry is required prior to taking the SIE exam. Please note: Association with a FINRA member firm is not required for those who would like to sit for the SIE exam; however, individuals must be associated with a FINRA member firm and pass additional qualification exams prior to engaging in securities business.
