Enroll for the Securities Industry Essentials (SIE) Exam
The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.
The enrollment process varies depending on whether you are an organization or an individual. The process also varies for organizations with access to CRD and organizations such as training companies, colleges and universities.
Consult the appropriate section below for complete instructions.
Organizations with Access to CRD
Two options are available in CRD for broker-dealers and investment adviser firms that want to request exam enrollments:
- Request an exam via a Form U4 submission; or
- Request an SIE exam enrollment or purchase an SIE exam voucher. See the User Guide for Requesting SIE Enrollments
Note: CRD users must have entitlement to submit Form U4 in order to request SIE enrollments and/or purchase vouchers through CRD. See the FINRA Entitlement Program page for more information.
Academic Institutions, Training Company or Other Organizations
Purchase of Vouchers:
SIE exam vouchers will be available for purchase starting October 1st 2018. Academic institutions, training companies, and other organizations can purchase and provide vouchers to individuals.
To purchase vouchers you will be required to create an account and pay by credit card or ACH. The system allows the purchaser to track the individual’s progress and see if they have passed or failed the exam by easily accessing the voucher report.
Note: Prometric does not create enrollments and is unable to use voucher codes. Individuals can redeem the vouchers at testenrollment.finra.org/SIE. Appointments can then be scheduled with Prometric once a 120-day enrollment window has been opened for the individual.
Firms are strongly encouraged to read the step-by-step User Guide as it is intended to assist firms in navigating the enrollment process and the purchasing of vouchers.
Individuals (Students, Individuals Considering a Securities Industry Career, and Formerly Registered Individuals)
FINRA Securities Industry Essentials Exam (SIE)