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Securities Industry Essentials. The Securities Industry Essentials, or SIE Exam, can be taken by anyone, whether sponsored by a FINRA member firm or not. The SIE must be complemented by a Series 6 or Series 7 Topoff exam.

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Course Information

Basic Access Plan

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Introduction to the SIE Exam; Important Considerations

Suitability Matrix

Capitalizing a Corporation; Legal Environment of the Securities Industry

Regulatory Environment of the Securities Industry

Economic Environment of the Securities Industry

Securities Markets Structure and Participants

Types of Securities and Their Characteristics

Risks Encountered in the Securities Industry