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 52 - 4.1.1. Principal vs. Agency Transactions

Series 63 - Client Contracts

Series 65 - Additional Fees

Series 24 - Spinning

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TESTIMONIALS

What are people saying?

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

I came into my studies with very little experience. With the amazing help and support from the Solomon Team I passed the SIE on my first attempt. I am extremely grateful for the study material that Solomon has provided. I am onto the 7 TO.

Wc Harbert, RBC. Eugene, OR

Thank you Solomon! I was able to pass the SIE, 7, 63 and 24 in a relatively short time period. The practice exams with answers really helped and when I had a question for The Professor, I always received a quick and accurate response. Solomon is definitely the way to go.

Seth Schader, CCO, Mercer Island, WA

The vocabulary on the test was slightly different, (they used the word tendered a lot) and so navigating the different financial vocabulary was a minor challenge. That being said, I felt comfortable in my knowledge and was able to break down and understand a large majority of the exam because of Solomon Exam Prep. I passed and felt confident!
I am so happy with Solomon! So far, I've passed the SIE and Series 7 exam because I used their program to study. I am currently using their program to study for the Series 66 now. The practice exams are invaluable and are the best way to learn! I would give 10/5 stars.

Abbigayle Hanoch, LPL Financial. Ventura, CA

Passed the SIE!

Chris McHugh, McHugh Ins Group, Inc., Boca Raton, FL

I'm not the best test taker. Solomon changed that. I was struggling on the quizzes and practice test. However, I passed the SIE on the first try. Took me less than one hour to complete. I felt very prepared.

Lamar Barnes, Washington D.C.

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