Securities Industry Essentials (SIE) Exam Prep

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Course Catalog

Becoming a Licensed Securities Professional – SIE

The Securities Industry Essentials (SIE) exam serves as the first step toward becoming a licensed securities professional. It provides a broad introduction to the financial industry, covering fundamental concepts that are essential for anyone looking to work with investment products. Passing the SIE is a prerequisite for taking representative-level exams, such as the Series 6 or Series 7, which allow individuals to sell specific types of securities.

This exam evaluates knowledge of key topics, including financial markets, investment products, trading regulations, and ethical practices. A strong understanding of these subjects is crucial for anyone pursuing a career in securities. This course is designed to help candidates build a solid foundation, ensuring they are well-prepared to pass the exam and take the next step toward becoming a registered securities professional.

Key Exam Topics:

Federal securities regulations

Registration & qualification

Customer accounts & activity

Suitable recommendations

Investment objectives

Tax considerations

Prohibited activities

Securities markets

Sanctions & penalties

Arbitration & complaint procedures

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