SIE: Introduction

Taken from our SIE Online Guide

Introduction

Solomon Exam Prep has helped thousands of individuals pass their securities licensing exams. In preparation for the scheduled 2018 launch of the Securities Industry Essentials Exam (SIE or “Essentials”), Solomon Exam Prep has created the following comprehensive guide. According to FINRA, the Securities Industry Essentials Exam will contain 75 questions and cover general securities industry knowledge.

Unlike current FINRA securities exams, individuals will be permitted to take the SIE without being employed by a broker-dealer. FINRA is letting anyone take the Essentials because the securities industry wants to expand its potential hiring pool. To become registered, however, FINRA will require individuals who have passed the SIE to take one or more of the specialized “top off” exams, such as the Series 6, 7, etc.

FINRA has outlined the SIE exam content and categorized it into four “functions,” or categories. The accompanying chart shows the exam functions and where each Solomon chapter fits into the exam outline.

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Since you're reading about SIE: Introduction, you might also be interested in:

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Series 66 - 1.2.2.7.1 Standard Deviation, Range, and Correlation

Series 6 - 4.2.11.5. U.S. Savings Bonds

Series 79 - Final Settlement: Within 90 Days of the “Syndicate Settlement Date”

Series 82 - 4.5. Statutory Disqualification

Series 99 - 3.2.5 Special Restrictions on Research Analysts and Research Reports

Series 7 - 4.8 Wash Sale Rules

Series 24 - Three-Year Records

Series 79 - Road Shows and Electronic Road Shows

Series 24 - Due Bills

Series 79 - 14.3. The Reorganization Plan

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TESTIMONIALS

What are people saying?

I got my undergrad degree in musical theater, never having studied or practiced anything regarding securities. I've been working as an actor over the last 10 years, and figured the Covid-19 quarantine presented an opportunity to learn something new. Solomon took me from knowing NOTHING about securities to passing the SIE on the FIRST TRY! I finished in under an hour and felt extremely confident about the entire test. I read every chapter twice, watched all the video tutorials, listened to the audiobook while driving, and took a large amount of practice exams. Do this - and you will be over prepared - I promise. I will absolutely be using Solomon again for any top-off exams!

Corey Cott, Philadelphia, PA

I studied for both the SIE and the Series 99 with Solomon. Both texts more than prepared me for the exam. The practice questions in particular were extremely helpful and were even a bit more challenging than the actual exams. After reading and annotating both textbooks twice and taking each quiz multiple times to the point that I received high scores on each, I was confident taking the exam. Although there were a few questions here and there on the exams that seemed to be outside the scope of the material and had some differently worded questions, the quiz questions were quite in line with the actual exam. I passed both exams my first try. I highly recommend Solomon study material.

Eric Cunningham PNC Pittsburgh, PA

Thank you so much Solomon Prep for helping me to be able to successfully pass all three of my exams (SIE, Series 7 and Series 66) in a relatively short period of time. The exam packages were excellent! I will continue to refer people to your amazing program!

Jessica Macci, Goldman Sachs. Albany, NY

I passed the SIE on my first attempt thanks to Solomon Exam Prep's structure and chapter guides consolidating a large amount of information into easy to learn material. I did not study finance in College and have been in Compliance for the better part of my career. This has been a validating experience thanks to Solomon Exam Prep.

Marlon Gonzalez-Perez, Tradition. New York, NY

I am so happy to announce that I passed the SIE on July 1st! Thank you, Solomon the book, videos, and exam simulator were the best! I went to the test with confidence, and I must say I felt like I was prepared for every question. I had more than enough time to complete all the questions and reviewed my answers. Series 6, here I come! Let's Go, Solomon!

Leanene Carriere, Nameloc Inc. Houston, TX

After failing the Securities Industry Essentials Exam twice I was all but ready to give up. Then I used Solomon Exam Prep material which help me to pass the exam. I had a blast using their learning platform and would highly recommend it to anyone!

Innocent Anavberokhai Jr., Lawrence, KS

Function 1: Knowledge of Capital Markets
	Chapter 6: Issuing Securities: The Primary Market Chapter 7: Economic and International Factors that Influence the Securities Markets
Function 2: Understanding Products and Their Risks
	Chapter 1: Equity Securities Chapter 2: Debt Securities Chapter 3: Investment Companies, Life Insurance Products, and Alternative Investments Chapter 4: Options and Alternative Investments Chapter 5: R