Securities Industry Essentials Exam
Available Beginning October 1, 2018
The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses 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.
Key Features of the Essentials Exam
* The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.
* Association with a firm is not required, and individuals are
permitted to take the exam before or after associating with a firm.
* Essentials exam results are valid for four years.
The Essentials Exam at a Glance
Number of Items : 75
Format : Multiple Choice
Duration : 105 minutes
Passing Score : TBD
Cost : $60 (proposed)
About This Exam , Key Features of the Essentials Exam, The Essentials Exam at a Glance, Content Outline
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