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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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The Series 6 Limited Securities Representative License enables the holder to sell mutual funds, Unit Investment Trusts and other packaged products. If the representative has necessary insurance licensing, variable annuities and variable life insurance products can also be sold. Topics include equity and debt securities, packaged products, suitability considerations and laws and regulations.

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The Series 63 Uniform Securities Act (USA) license is required in most states to sell securities within that particular state. Under most circumstances, a Series 7, Series 6 or other appropriate securities license is also required to sell securities. All aspects of the USA are tested, including emphasis on definitions, exemptions and exclusions, prohibited practices and possess knowledge of ethical practices and fiduciary obligations.

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The Series 65 and Series 66 Investment Advisor Representative licenses are required for an individual to charge for giving investment advice or related activities. Although the tests are separate, with different prerequisites, the subject matter is almost identical. Topics include Federal and State laws, regulations, ethics, portfolio management strategies, fiduciary responsibilities and other topics. This review video set covers all material for both tests.

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The Series 7 General Securities Representative license allows representatives to solicit orders for a wide range of securities, including stocks, bonds, mutual funds, options and others. WATCH FOR SERIES 7 VIDEOS, COMING SOON. Check out our private tutoring at the link above.

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