The SIE exam assesses a candidate's basic knowledge of the securities industry. It focuses on industry terminology, securities products, the structure and function of the markets, regulatory agencies and their function, and regulated and prohibitive practices.

The SIE exam is an introductory-level exam that assesses a candidate's knowledge of securities industry information fundamental to working in the industry, including types of products and their risks, regulatory agencies and their functions, and prohibited practices. It is a pre-requisite to obtaining a Series 6, 7, 79, or 99 license.

About Our SIE Training Course

With a 93.6% pass rate, our training materials have proven to help you pass your exam the first time.

With our 'Live Online' version, you receive training materials, sample exams, and more that you study on you own time, then attend an Instructor-led training session on whichever available date you select. Here is some of what you receive:

• Interactive Learning Portal
  Your 'Interactive Learning Portal' contains your training materials. Covering all aspects of course content, it contains a combination of online instructional resources and interactive support tools featuring short, focused paragraphs with numerous graphics and exercises help you learn faster - while retaining critical information.
• Live Online Training w/ Recorded Playback
  Your 'Live Online Training' component is a two-day instructor-led training session that you attend via webinar from the comfort of your home or office. These sessions also are recorded to you can play them back at your leisure. Though you can schedule your training session immediately, students typically select their instructor-led session 30 or so days out, thereby giving them enough time to study the training materials prior to the session, then take numerous practice exams thereafter.
• OnDemand Video Library
  Taught by content experts, enriched with animations, and available 24/7, this learning component contains videos on key topics that are organized by key concepts to directly correspond with the study by topic section within your online learning portal.
• ListenUp! Audio & Online Flashcards
  Delivered via mp3 files and online, respectively, your 'Listen! Up Audio' and 'Online Flashcards' provide additional tools and methods to study for your exam.
• Online Exam Simulations
  Your 'Online Exam Simulations' are practice exams that not only let you practice what you learn, but create the actual testing atmosphere you will incur with the type of questions you will see on your exam. These exam questions will test your knowledge of the material and your ability to apply that knowledge in a simulated test environment - as well as draw attention to any areas that you need to review.
• Guarantee Exam
  This test will serve as a last check to ensure that you are ready to pass your licensing exam. You only have 2 attempts to take this final exam but can take the other exam simulator as much as needed.
• Instructor Support
  As good as our training materials are, we realize you still may have questions, so we make our Industry Experts available by phone or email.

View the full Course Agenda

To Select The Date For Your Instructor-Led Session

Click here or the "Dates" tab below to select your preferred date for your instructor-led session.

Pass Guarantee:

We guarantee each student will pass his or her exam on the first attempt. If a student fails the licensing exam within three days after scoring 80% on the Guarantee Exam, we will refund the cost of the material.

Accessing Your Course:

Upon registration, you will receive an email from the course provider with access instructions for both the online materials and the Instructor-led session. Though the average person spends 60-80 hours pre-studying for their SIE exam, you will have access to your online materials for 90 days from date of purchase. Extensions may be purchased if needed.