Chapter 1

Introducing the SIE (Securities Industry Essentials) Exam


Bullet Introducing the SIE

Bullet Taking a look at companion tests

Bullet Registering to take the exam

Bullet Uncovering topics tested on the SIE exam

Bullet Mastering the computerized exam format

Congratulations on your interest in becoming a financial professional! But before you can lose yourself in the energy of the office, the eager voices of your clients, and the warm glow of success, you have to face the SIE as well as one of the top-off exams such as the Series 7. In this chapter, I give you an overview of the SIE exam, including its purpose, structure, format, scoring, and some helpful tips to guide you through the registration procedure.

What Is the SIE Exam, Anyway?

Initially, the information in the Securities Industry Essentials exam was included in books that covered the Series 6, Series 7, Series 22, and so on. The Financial Industry Regulatory Authority’s (FINRA’s) idea was to strip the similar information from these ...

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