SIE Exam: Securities Industry Essentials Exam Lessons and Information

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SIE Exam: Securities Industry Essentials Exam Lessons and Information episodes

March 18, 2021 2020 SIE Exam Lesson 35
SIE Exam Lesson 35 Analysis Balance Sheet 2
This is SIE Exam Lesson 35 which is going to be covering the second lesson in balance sheets in this lesson we begin our discussion of the fundamental approach to investment analysis. We’re going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow statement. This SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 35 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) that we will share with you for the full new 36 hour and 35 min audio course “Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam”
The full course details:
Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam
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, 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 Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14
TOTAL 100% 125”
The five job functions of the new Series 7 General Securities Representative Exam will be:
“Seeks business for the broker-dealer through customers and potential customers”
“Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives”
“Opens accounts, transfers assets and maintains appropriate account records”
“Provides customers with information on investments and makes suitable recommendations”
“Obtains and verifies customer’s purchase and sales instructions, enters orders and follows up”
These five functions of the new series 7 exam are the same or substantially similar to ones on the current Series 7 exam. A notable change from the existing Series 7 exam is the addition of evaluating customer “risk tolerance.”
https://www.finra.org/industry/series7

25 min
March 11, 2021 2020 SIE Exam Lesson 34
SIE Exam Lesson 34 Analysis Balance Sheet 1
This is SIE Exam Lesson 34 which is going to be covering the first lesson in balance sheets in this lesson we begin our discussion of the fundamental approach to investment analysis. We’re going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow statement. This SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 34 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) that we will share with you for the full new 36 hour and 35 min audio course “Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam”
The full course details:
Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam
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, 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 Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14
TOTAL 100% 125”
The five job functions of the new Series 7 General Securities Representative Exam will be:
“Seeks business for the broker-dealer through customers and potential customers”
“Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives”
“Opens accounts, transfers assets and maintains appropriate account records”
“Provides customers with information on investments and makes suitable recommendations”
“Obtains and verifies customer’s purchase and sales instructions, enters orders and follows up”
These five functions of the new series 7 exam are the same or substantially similar to ones on the current Series 7 exam. A notable change from the existing Series 7 exam is the addition of evaluating customer “risk tolerance.”
https://www.finra.org/industry/series7

25 min
March 04, 2021 2020 SIE Exam Lesson 32
SIE Exam Lesson 32 Securities Trading Markets pt 4
In this lesson we continue to learn about the trading markets what you need to understand in order to pass the securities industries essentials exam, the SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 32 is another portion (about 1/4 to 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 32
The full course details:
Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam
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, 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 Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14
TOTAL 100% 125”
The five job functions of the new Series 7 General Securities Representative Exam will be:
“Seeks business for the broker-dealer through customers and potential customers”
“Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives”
“Opens accounts, transfers assets and maintains appropriate account records”
“Provides customers with information on investments and makes suitable recommendations”
“Obtains and verifies customer’s purchase and sales instructions, enters orders and follows up”
These five functions of the new series 7 exam are the same or substantially similar to ones on the current Series 7 exam. A notable change from the existing Series 7 exam is the addition of evaluating customer “risk tolerance.”
https://www.finra.org/industry/series7

25 min
February 25, 2021 2020 SIE Exam Lesson 31
SIE Exam Lesson 31 Securities Trading Markets pt 3
In this lesson we continue to learn about the trading markets what you need to understand in order to pass the securities industries essentials exam, the SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 31 is another portion (about 1/4 to 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 31
The full course details:
Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam
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, 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 Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14
TOTAL 100% 125”
The five job functions of the new Series 7 General Securities Representative Exam will be:
“Seeks business for the broker-dealer through customers and potential customers”
“Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives”
“Opens accounts, transfers assets and maintains appropriate account records”
“Provides customers with information on investments and makes suitable recommendations”
“Obtains and verifies customer’s purchase and sales instructions, enters orders and follows up”
These five functions of the new series 7 exam are the same or substantially similar to ones on the current Series 7 exam. A notable change from the existing Series 7 exam is the addition of evaluating customer “risk tolerance.”
https://www.finra.org/industry/series7

25 min
February 18, 2021 2020 SIE Exam Lesson 30
SIE Exam Lesson 30 Securities Trading Markets pt 2
In this lesson we continue to learn about the trading markets what you need to understand in order to pass the securities industries essentials exam, the SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 30 is another portion (about 1/4 to 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 30
The full course details:
Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam
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, 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 Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14
TOTAL 100% 125”
The five job functions of the new Series 7 General Securities Representative Exam will be:
“Seeks business for the broker-dealer through customers and potential customers”
“Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives”
“Opens accounts, transfers assets and maintains appropriate account records”
“Provides customers with information on investments and makes suitable recommendations”
“Obtains and verifies customer’s purchase and sales instructions, enters orders and follows up”
These five functions of the new series 7 exam are the same or substantially similar to ones on the current Series 7 exam. A notable change from the existing Series 7 exam is the addition of evaluating customer “risk tolerance.”
https://www.finra.org/industry/series7

25 min
February 11, 2021 2020 SIE Exam Lesson 29
SIE Exam Lesson 29 Securities Trading Markets part 1
In this lesson we start to learn about the trading markets what you need to understand in order to pass the securities industries essentials exam, the SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 29 is another portion (about 1/4 to 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 29
The full course details:
Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam
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, 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 Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14
TOTAL 100% 125”
The five job functions of the new Series 7 General Securities Representative Exam will be:
“Seeks business for the broker-dealer through customers and potential customers”
“Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives”
“Opens accounts, transfers assets and maintains appropriate account records”
“Provides customers with information on investments and makes suitable recommendations”
“Obtains and verifies customer’s purchase and sales instructions, enters orders and follows up”
These five functions of the new series 7 exam are the same or substantially similar to ones on the current Series 7 exam. A notable change from the existing Series 7 exam is the addition of evaluating customer “risk tolerance.”
https://www.finra.org/industry/series7

26 min
February 04, 2021 2020 SIE Exam Lesson 28
2020 SIE Exam Lesson 28 MSRB
Securities Industry Essentials SIE Exam Sample Lesson 28 is another portion (about 1/4 to 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 28
The full course details:
2020 SIE Exam Lesson 27 FINRA Rules pt 2
Total Course 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, 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 Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14
TOTAL 100% 125”
The five job functions of the new Series 7 General Securities Representative Exam will be:
“Seeks business for the broker-dealer through customers and potential customers”
“Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives”
“Opens accounts, transfers assets and maintains appropriate account records”
“Provides customers with information on investments and makes suitable recommendations”
“Obtains and verifies customer’s purchase and sales instructions, enters orders and follows up”
These five functions of the new series 7 exam are the same or substantially similar to ones on the current Series 7 exam. A notable change from the existing Series 7 exam is the addition of evaluating customer “risk tolerance.”
https://www.finra.org/industry/series7

26 min
January 28, 2021 2020 SIE Exam Lesson 27
2020 SIE Exam Lesson 27 FINRA Rules pt 2
Securities Industry Essentials SIE Exam Sample Lesson 27 is another portion (about 1/3rd 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 27
The full course details:
Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam
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, 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 Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14
TOTAL 100% 125”
The five job functions of the new Series 7 General Securities Representative Exam will be:
“Seeks business for the broker-dealer through customers and potential customers”
“Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives”
“Opens accounts, transfers assets and maintains appropriate account records”
“Provides customers with information on investments and makes suitable recommendations”
“Obtains and verifies customer’s purchase and sales instructions, enters orders and follows up”
These five functions of the new series 7 exam are the same or substantially similar to ones on the current Series 7 exam. A notable change from the existing Series 7 exam is the addition of evaluating customer “risk tolerance.”
https://www.finra.org/industry/series7

22 min
January 21, 2021 2020 SIE Exam Lesson 27
SIE Exam Lesson 27 FINRA Rules pt 2
Securities Industry Essentials SIE Exam Sample Lesson 27 is another portion (about 1/3rd 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 27
The full course details:
Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam
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”

22 min
January 14, 2021 2020 SIE Exam Lesson 26
SIE Exam Lesson 26 FINRA Rules pt 1
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 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, 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 Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14
TOTAL 100% 125”
The five job functions of the new Series 7 General Securities Representative Exam will be:
“Seeks business for the broker-dealer through customers and potential customers”
“Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives”
“Opens accounts, transfers assets and maintains appropriate account records”
“Provides customers with information on investments and makes suitable recommendations”
“Obtains and verifies customer’s purchase and sales instructions, enters orders and follows up”
These five functions of the new series 7 exam are the same or substantially similar to ones on the current Series 7 exam. A notable change from the existing Series 7 exam is the addition of evaluating customer “risk tolerance.”
https://www.finra.org/industry/series7

23 min