On October 1, 2018, FINRA changed the requirements for many of the Securities licensing exams. The Securities Industry Essentials (SIE) exam is now a co-requisite to obtaining a Series 6, 7, 79, or 99 license. Core content for each of these series will be tested in the new SIE exam.
Much of the content on the SIE outline is based on common securities industry knowledge and general concepts. The new SIE exam will cover four main areas:
- Knowledge of Capital Markets
- Understanding Products and Their Risks
- Understanding Trading, Customer Accounts, and Prohibited Activities
- Overview of the Regulatory Framework
With the introduction of the SIE exam, we want you to prepare with the right study materials. Upon successful completion of the SIE exam, candidates would then complete a top-off exam to become licensed.Live Class Review
This course includes everything you need to effectively prepare, practice, and perform on your series exam. This intensive, 3-day review seminar is ideal for students who excel in a live learning environment with teacher/student interaction. Securities experts deliver material in a concise and easy-to-understand manner, while providing important topical insight and valuable exam tips and strategies.Live Instruction Study Package Materials
Our Study Solutions include both print and online tools designed to fit your study style and schedule. Candidates should plan to spend approximately 3-4 weeks with these materials prior to attending the Live Classroom Review.
Receipt of Materials
- License Exam Manual (Print & PDF)
A comprehensive textbook covering all aspects of the exam. Short, focused paragraphs with numerous graphics and exercises help students learn faster and retain critical information.
- Class Notes (Print & PDF)
Concise and easy-to-use, these study notes highlight critical exam-focused content, providing students with a convenient note-taking format for organized, post-class review.
- SecuritiesPro QBank
Test yourself with exam-focused questions, build personalized exams based on difficulty, length, and topic of your choice, and create personal notes and bookmarks for future reference.
- Mastery Exam
Designed to closely replicate the true exam experience, both in terms of the degree of difficulty and topical coverage. This exam is a sound indicator of potential actual exam scores - the better students do on this exam, the more likely they are to pass their Series exam.
A unique combination of online instructional resources and interactive support tools designed to help students pass their Securities exam, consisting of: Video Library of streaming videos, Online Connection to a securities expert via chat and email, Searchable FAQs, Exam-tips Blog, Test Alerts, and Study Calendar.
The printed materials noted above in the Premium Instruction Study Solution are shipped via UPS ground after receipt of your paid order. Please allow 3-5 business days for delivery (shipping charges will be applied during checkout).
Access instructions for the online portions of this program will be emailed to you within 1 business day of your paid registration.If you are registering for a class within 3 business days of the class start date
you should elect to have the materials shipped UPS next-day air (selected during the checkout process); such Express orders must be received by 11:45am EST to be delivered the following business day.
Any overnight orders received after that time will ship the next business day. Note: Any orders that are not upgraded to overnight shipping during checkout for classes beginning within 3 business days risk the chance of materials not arriving in time for class.PassProtection Guarantee:
We're so confident that you will pass your Insurance Licensing Exam after completing this program that we will provide free enrollment in future classes should you not pass your exam!
Our PassProtection program allows you to reschedule your review course complimentary up to 3 times within one year of your purchase date (after taking the course this fourth time, a separate fee will be charged for any enrollment thereafter).