SIE Overview
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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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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
34 Act Part 2
Further discussion of the terms, procedures and prohibited practices under the 34 Act.
34 Act Part 3
Further discussion of the terms, procedures and prohibited practices under the 34 Act.