Enroll for a Series Exam
Effective October 1, 2018, the Securities Industry Essentials (SIE or Essentials) Exam is available. It is a new FINRA exam for prospective securities industry professionals. The 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.
Whether you are new to the industry or are seeking to broaden your career, you may be required to complete a Series exam. Reasons include:
- you are looking to become a securities industry professional and are required by a state regulator or by an approved regulatory authority to take an exam;
- you are looking to become an MSRB representative or principal;
- you are applying for NFA membership or as an Associated Person of an NFA member;
- you are seeking to become licensed by a state regulator to work with investors in that state.
To enroll for the appropriate Series exam, find it below and click the Enroll button for that Series group. You will automatically be directed to the correct enrollment process for that Series.