SIE Exam: Securities Industry Essentials Exam Lessons and Information

SIE Exam Lesson 7 Fixed Income 3

This is about one half of the full length of this audio lesson for SIE Exam Lesson 7 Fixed Income 3

Securities Industry Essentials SIE Exam Sample Lesson 4 is the fourth of 5 sample lessons we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 4 Special Securities

The full course details:

36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

58 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

New Series 7 Exam and SIE Exam details.

FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions.

https://www.finra.org/industry/series7

However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

https://www.finra.org/industry/essentials-exam

“Securities Industry Essentials (SIE) Exam

Available Beginning October 1, 2018

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.

Key Features of the Essentials Exam

________________________________________

• The Essentials exam is open to anyone aged 18 or older, 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.

The Essentials Exam at a Glance

________________________________________

Number of Items 75

Format Multiple Choice

Duration 105 minutes

Passing Score 70%

Cost $60”

New Series 7 Exam

“On or After October 1, 2018

The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

Major Job Functions Percentage of Test Questions Number of Test Questions

(F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9

(F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11

(F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91

(F4) Obtains and Verifies Customers’ Purchase and Sale...

A Bad Annuity Salesperson Tale

This podcast is a podcast about Bad Annuity Sales Practices from and actual experience I had in the last month with a client.  Listen and learn what you should never do if you are trying to sell annuities to your client!

Securities Industry Essentials SIE Exam Sample Lesson 26 is another portion (about 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 26

The full course details:

Total Course 36 hour

36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

58 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

 

New Series 7 Exam and SIE Exam details.

Here is a link to the table of Contents

Here is what my customers say about my audio lessons

Testimonials

FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE

Exam) the new series 7 has been pared down to 125 questions from its original 250 questions.

https://www.finra.org/industry/series7

However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series

7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and

no broker affiliation is needed..

https://www.finra.org/industry/essentials-exam

“Securities Industry Essentials (SIE) Exam

Available Beginning October 1, 2018

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.

Key Features of the Essentials Exam

________________________________________

• The Essentials exam is open to anyone aged 18 or older, 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.

The Essentials Exam at a Glance

________________________________________

Number of Items 75

Format Multiple Choice

Duration 105 minutes

Passing Score 70%

Cost $60”

New Series 7 Exam

“On or After October 1,

SIE Exam Lesson 6 Fixed Income Securities pt 2

This is about one half of the full length of this audio lesson  for SIE Exam Lesson 6 Fixed Income 2

Securities Industry Essentials SIE Exam Sample Lesson 4 is the fourth of 5 sample lessons we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 4 Special Securities

The full course details:

36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

58 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

New Series 7 Exam and SIE Exam details.

FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions.

https://www.finra.org/industry/series7

However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

https://www.finra.org/industry/essentials-exam

“Securities Industry Essentials (SIE) Exam

Available Beginning October 1, 2018

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.

Key Features of the Essentials Exam

________________________________________

• The Essentials exam is open to anyone aged 18 or older, 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.

The Essentials Exam at a Glance

________________________________________

Number of Items 75

Format Multiple Choice

Duration 105 minutes

Passing Score 70%

Cost $60”

New Series 7 Exam

“On or After October 1, 2018

The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

Major Job Functions Percentage of Test Questions Number of Test Questions

(F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9

(F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11

(F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91

(F4) Obtains and Verifies Customers’ Purchase a...

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

________________________________________________________________________________________________

 

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

Jim Moore owns and operates the tutoring company Professional Exam Tutoring (www.professionalexamtutoring.com) based out of New York City. His primary focus is on tutoring FINRA exams such as the SIE Exam, Series 7 Top-Off Exam, Series 6, Series 63, Series 79, and Series 86. He also tutors CFA candidates, and an undergraduate finance, and corporate finance courses.

In this conversation, we discuss the feedback Jim’s received from students for the SIE exam, and touch on the Series 7 Top-Off a little bit as well. Specifically, the discussion centers around what resources students find successful, what topics present the most challenges, and what tips and tricks seem to resonate with student that take the SIE exam."

New Series 7 Top off Examination Sample Lesson 7 MSRB Advertising, FINRA Rules

This is  sample lesson from the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination

the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

Over the next several weeks I'm going to be sharing with you six sample lessons from the full audio course

if you're interested in buying the full set of audio lessons click the links below.

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.

--------

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

New Series 7 Top-Off announcement

As I said in the podcast I have just finished producing 74 lessons that now make up the new series 7 study guide audio lessons and I am looking for reviewers who would get a discount to $69.99 from the list price which will be $119.99. If you are interested in being a reviewer write me an e-mail to the e-mail address which is revealed in the podcast.

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

_____________________________

Before you may take the New Series 7 Exam (top off Series 7 Exam) you must also pass the SIE Exam and the audio lessons I have produced may help!

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.

New Series 7 Top off Examination Sample Lesson 5 Securities Act of 1933

This is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination

the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

Over the next several weeks I'm going to be sharing with you six sample lessons from the full audio course

if you're interested in buying the full set of audio lessons click the links below.

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.

--------

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

New Series 7 Top-Off announcement

As I said in the podcast I have just finished producing 74 lessons that now make up the new series 7 study guide audio lessons and I am looking for reviewers who would get a discount to $69.99 from the list price which will be $119.99. If you are interested in being a reviewer write me an e-mail to the e-mail address which is revealed in the podcast.

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

_____________________________

Before you may take the New Series 7 Exam (top off Series 7 Exam) you must also pass the SIE Exam and the audio lessons I have produced may help!

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.

New Series 7 Top off Examination Sample Lesson 4 Option Communication and Disclosures

This is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination

the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

Over the next several weeks I'm going to be sharing with you six sample lessons from the full audio course

if you're interested in buying the full set of audio lessons click the links below.

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.

--------

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

New Series 7 Top-Off announcement

As I said in the podcast I have just finished producing 74 lessons that now make up the new series 7 study guide audio lessons and I am looking for reviewers who would get a discount to $69.99 from the list price which will be $119.99. If you are interested in being a reviewer write me an e-mail to the e-mail address which is revealed in the podcast.

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

_____________________________

Before you may take the New Series 7 Exam (top off Series 7 Exam) you must also pass the SIE Exam and the audio lessons I have produced may help!

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.

New Series 7 Top off Examination Sample Lesson 3 Section 1 Rankings, Volatility Ratings CMO's

This is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination

the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

Over the next several weeks I'm going to be sharing with you six sample lessons from the full audio course

if you're interested in buying the full set of audio lessons click the links below.

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 hired 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.

--------

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

New Series 7 Top-Off announcement

As I said in the podcast I have just finished producing 74 lessons that now make up the new series 7 study guide audio lessons and I am looking for reviewers who would get a discount to $69.99 from the list price which will be $119.99. If you are interested in being a reviewer write me an e-mail to the e-mail address which is revealed in the podcast.

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

_____________________________

Before you may take the New Series 7 Exam (top off Series 7 Exam) you must also pass the SIE Exam and the audio lessons I have produced may help!

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.

New Series 7 Top off Examination Sample Lesson 2

This is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination

the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

Over the next several weeks I'm going to be sharing with you six sample lessons from the full audio course

if you're interested in buying the full set of audio lessons click the links below.

Our sample lessons are starting with lesson two because we're skipping the introduction which is technically lesson one.

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 hired 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.

Since I just finished the new series of audio lessons for the series 7 exam I'm going to share 6 of those lessons with you here.

--------

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

New Series 7 Top Off announcement

As I said in the podcast I have just finished producing 74 lessons that now make up the new series 7 study guide audio lessons and I am looking for reviewers who would get a discount to $69.99 from the list price which will be $119.99. If you are interested in being a reviewer write me an e-mail to the e-mail address which is revealed in the podcast.

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

_____________________________

Before you may take the New Series 7 Exam (top off Series 7 Exam) you must also pass the SIE Exam and the audio lessons I have produced may help!

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,