Securities Industry Essentials Examination (SIE)

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On October 1st of 2018, FINRA launched the Securities Industry Essentials Examination (The SIE Exam).  This entry 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. The SIE Exam and the Series 7 Exam are corequisite exams, and to be registered as a general securities representative, one must pass both of them.  The SIE Exam and the Series 6 Exam are also corequisite exams, and to be registered as an investment company/variable contracts products representative, one must pass both of them  Unlike the series 6 and series 7 exams, a test taker does not have to be sponsored to take the SIE Exam.  The SIE has 75 questions and the duration of the exam is 105 minutes. Also, a passing score on the SIE Exam will be good for four years.  

For additional information regarding the Securities Industry Essentials Examination (The SIE Exam), you can click on the link below to see FINRA's regulatory notice:

Finance Exam Tutor has been a SIE Exam Tutor since its inception.  We have created proprietary materials for the SIE Exam but we are very familiar with the materials from the major prep providers such as Kaplan and Pass Perfect. 

Working with a SIE Exam Tutor can help you understand topics which are likely to be very unfamiliar to you. Our SIE Exam Tutoring can be held during the day or at night. If you would like to work with a SIE Tutor, you can send a note to

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11/20 - With the help of a SIE Tutor, Mike passed the SIE Exam

10/20 - With the help of a SIE Tutor, Julia passed the SIE Exam

09/20 - SIE Tutoring helped Ashley pass the SIE Exam

07/20 - With the help of a SIE Tutor, Aidan passed the SIE Exam

01/20 - SIE Tutoring helped James pass the SIE Exam

12/19 - With the help of a SIE Tutor, Kate passed the SIE Exam

09/19 - With the help of a SIE Tutor, Keith, Jacqueline and Jennifer passed the SIE Exam

08-19 - SIE Exam Tutoring helped Jorge, Lisa, Casey, Mark, and Will pass the SIE Exam

07-19 - With the help of a SIE Tutor, Susan passed the SIE exam

05-19 - With the help of a SIE Tutor, Laura passed the SIE Exam

04-19 - SIE Exam Tutoring helped Robert pass the SIE Exam

03-19 - With the help of a SIE Exam Tutor, Melissa passed the SIE Exam

12-18 - With the help of a SIE Exam Tutor, Gerry and Robert passed the SIE Exam 

08-18 - Finance Exam Tutor begins offering tutoring for the SIE Exam

11/17 - Finance Exam Tutor is hiring but please only inquire about Series 7 Tutoring positions                if you have several years of prior Series 7 Tutoring experience. We are looking for                      Series 7 Tutors all over the US but especially in NYC, NY.

11/17 - Series 7 Tutoring helped Jessica passed the Series 7 Exam

10/17 - Series 7 Tutoring helped Danielle pass the Series 7 Exam​

10/17 - FINRA announces the restructuring of certain FINRA exams and introduces                                 the Securities Industry Essentials Exam.  Series 7 Tutoring can help you with old                       and new exams.

09/17 - T+2 Settlement goes into effect for stocks, corporate bonds and municipal                                   bonds.  Series 7 Tutoring can help you understand the other  effects of this                                 change. 

08/17 - Was a busy month with Series 24 students and with Series 7 students

07/17 - Students continue to appreciate our suitability questions for the series 7 exam

07/17 - The SEC approves the Securities Industry Essentials Exam and the restructuring              of the Series 6 and Series 7 exams.  Series 7 Tutoring can help you with old and                restructured exams.

04/12 - Series 7 Tutoring helped Jennifer pass the Series 7 Exam.
03/12 - With the help of a Series 7 Tutor, Maureen passed the Series 7 Exam.
02/12 - Series 7 Tutoring helped Chris passed the Series 7 Exam.
02/12 - With the help of a Series 7 Tutor, Jim passed the Series 7 Exam.
02/12 - Series 7 Tutoring helped Robert pass the Series 7 Exam.            
01/12 - Finance Exam Tutor helps Jessica pass her corporate finance final exam!
11/11 - FINRA raises the minimum passing score on the Series 7 Exam to 72% from                      70%.  Getting a  Series 7 Tutor can help you try to pass this exam!

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