SIE Live Classes

Learn important concepts from a live instructor to help you pass your FINRA Securities Industry Essentials (SIE) exam.

May 15 – 19
Monday – Friday
12:00 pm ET – 3:15 pm ET

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Why take a Solomon Live Class?

Solomon Live Web Classes give students the opportunity to supplement their studying with live instruction from Solomon content professionals. Enjoy in-depth, live explanations, ask follow up questions, and hear relevant questions from fellow students.

  • Learn Anywhere: Take classes online via computer, tablet, or smart phone.
  • Learn Anytime: Class recordings are available for 30 days after the class ends.
Is a Live Class right for me?
Solomon Live Web Classes are best for students that have already done a significant amount of studying for their exam. The class will give the student the opportunity to review material and ask any relevant questions before they sit for their exam.


Topics Covered

  • Common Stock
  • Preferred Stock, Warrants, Rights and ADRs
  • Bonds and Yields
  • Types of Bonds
  • Treasury Securities, ABS, CMOs, and Munis
  • Mutual Funds and Other Investment Companies
  • Life Insurance Products and Municipal Fund Securities
  • Options
  • Options, Partnerships, Hedge Funds, and Private Placements
  • Risks
  • Customer Disclosures & Taxation
  • Underwriting, Issuing, and Registering Securities
  • Exemptions from Registration & Types of Broker-Dealers
  • Markets, Financial Institutions, and Clearance & Settlement
  • Economic Factors and Business Cycles
  • Tools of Government Policy and International Factors
  • Opening an Account & Types of Accounts
  • Cash and Margin Accounts
  • Order Processing
  • Handling Corporate Actions, Account Compliance, and SIPC Rules
  • Prohibited Activities and Trading Rules
  • FINRA Conduct Rules
  • FINRA Membership

Class Length

Number of Sessions: 5

Session Length: 3 hours + one 15-minute break


WHAT is the SIE?

In 2017 FINRA restructured a number of their tests and created an “essentials” test covering basic industry concepts. It is open for anyone over 18 to study and take, and the results are valid for four years. While passing the SIE does not qualify individuals to engage in securities business, it must be passed in order for individuals pursue a number of careers in the financial industry.

Solomon SIE Resources

Solomon Exam Prep has been on the cutting edge of providing innovative resources for those studying for the SIE including study guides, exam simulators, on-demand video lectures, audiobooks, digital flashcards, and Pass Probability™ scores. A full list of what Solomon offers for SIE students, as well as samples, can be found by clicking the following button. 

Other Series

August 15 – 19
Monday – Friday
12:00 pm ET – 3:15 pm ET

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October 24 – 28
Monday – Friday
12:00 pm ET – 3:15 pm ET

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