What is the SIE Exam Podcast?

The SIE Exam podcast is a podcast for those who are preparing to take the FINRA Securities Industry Essentials Exam (SIE Exam) and enter the Financial Services industry.

In the SIE Exam podcast we share audio lessons to help you prepare for the SIE Exam as well as lessons and interviews with individuals to help the candidate round out their understanding of finance and business.

If you are interested in preparing for the SIE Exam or just learn about financial products this is the podcast for you

 

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You need to pass both the series 7 and the Securities Industries Essentials Examination in order to be licensed by FINRA. While you may take both exams simultaneously, normally you would want pass the securities industries essentials exam prior to taking the New series 7 exam, however, this is not required you may take the both exam simultaneously, the SIE exam prior to the series 7 exam, or the series 7 exam prior to the SIE exam . The only restriction is that you must be employed by a member firm in order take the series 7 exam but you may take the SIE exam without any industry affiliation as long as your 18 years of age or older.

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The full table of contents for the Series 7 Top-Off Study Guide is located here

The New Series 7 Top- Off Study Guide Audio Lessons is a Total Length 32 hours 27 Min

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The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam

Securities Industry Essentials Exam 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.

Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.

Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

Essentials exam results are valid for four years.

Check out our podcast for the SIE Exam

Here is a link to our other study products