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Securities Industry Essentials (SIE) Exam Prep

This course equips you with the knowledge and strategic approach needed to pass the Securities Industry Essentials® (SIE®) Exam, a critical Financial Industry Regulatory Authority (FINRA) qualification exam. During this comprehensive training, you will learn essential industry concepts like suitability requirements, customer accounts, trading practices, regulatory frameworks, and much more.

Securities-Industry-Essentials-SIE
$550.00 (USD)

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  • Overview
  • Objective
  • Syllabus
  • Requirements
  • Prerequisites
  • Instructor
  • FAQs
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Overview

The securities industry, which includes investment banking, trading, and asset management, continues to demonstrate strong growth with a projected 7% growth rate by 2023, according to the U.S. Bureau of Labor Statistics. This growth is mainly fueled by increasing complexity in financial products, technological advancement, and demand for personalized wealth management services. The industry is also undergoing significant transformation with the rise of fintech, algorithmic trading, digital assets, and traditional roles being redefined by artificial intelligence and automation. With 41,000 jobs projected annually, now is a great time to enter this career field!

The Securities Industry Essentials® (SIE®) Exam Prep course equips you with the knowledge and strategic approach needed to pass this critical Financial Industry Regulatory Authority (FINRA) qualification exam. The course systematically covers all major exam topics, including types of securities products, risks, regulations, prohibited practices, and market structure. Through both a written and video learning experience, you will learn key security industry fundamentals through practice questions and full-length mock exams that mirror the live test format and difficulty.

The SIE course curriculum emphasizes critical concepts like suitability requirements, customer accounts, trading practices, and regulatory frameworks. You will also have access to interactive quizzes and performance-tracking tools to help you strengthen your knowledge, as well as memory aids and test-taking strategies to help you tackle the 75 multiple-choice questions within the 1-hour and 45-minute time limit. Passing the SIE exam is an important first step in earning your SIE license!

Objective

What you will learn

  • Gain knowledge of capital markets
  • Understand products and their risks
  • Review trading, customer accounts, and prohibited activities
  • Acquire an overview of regulatory framework

How you will benefit

  • Stand out and distinguish yourself from your peers who are also seeking internships or jobs
  • Apply your new knowledge and skills towards jumpstarting your career goals
  • Get immediate notice of your pass/fail status from the practice final exams—with performance feedback if you fail
  • Possess increased marketability in the financial services industry
  • Prepare for the Securities Industry Essentials (SIE) Exam

Syllabus

Requirements

Prerequisites

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Instructor

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Southeastern Oklahoma State University
Provided by ed2go
425 W. University Blvd.
Durant, OK 74701-3347 US
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