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Launch your Financial Services career with the SIE!
The SIE Exam dramatically changes the licensing requirements for new entrants into the Financial Services Industry. Instead of applying for a Financial Services position and having a firm sponsor your training and exam, you will likely be responsible for passing the SIE exam individually, demonstrating basic Financial Services proficiency to your prospective employer. Once hired, it is very probable that your employer will sponsor your “top-off’ course so that you can achieve your particular Series certification.
We expect the SIE to cover the majority of the “core” Financial Services topics and the “top-off exam” courses to dive deep into areas of specialization and expertise. See below for more information on the structure of the top-off exams.
STC, the industry leader with over 45 years of experience in securities exam preparation, stands ready to help you achieve success. Continue reading below for information on how the SIE can differentiate you from the competition and successfully launch your Financial Services career!
The most important impending change is that FINRA will be allowing individuals who are not associated with financial firms to take the SIE Exam. Unlike traditional securities exams that require an individual to be an employee of a sponsoring firm, the SIE Exam allows college students and career changers, the two most important sources of new hires, to take the exam without sponsorship.
However, unlike other FINRA exams, the SIE Exam will not allow an individual to perform a particular function, but will instead serve as a prerequisite for taking additional “top-off” exams in their desired area of expertise. A combination of the SIE Exam plus a top-off exam will be equivalent to the securities exams currently being offered (e.g. Series 6, 7, 57, or 79).
Our industry-leading materials will reflect FINRA's final outline for the SIE Exam. STC will cover topics such as Capital Markets, Products and their Risks, Trading, Customer Accounts and Prohibited Activites, as well as provide an overview of the regulatory framework. Our Online Practice Exams, On-Demand Lectures, and Online Flashcards will help you prepare for the SIE Exam as efficiently and effectively as possible. You can rely on STC to provide you with all you need to pass the test.
How Can Firms Benefit from the SIE?
How Can Individuals Benefit from the SIE?
Proves to firms that you can pass a securities exam (firms like to hire candidates who they predict will be successful).
STC has trained more than one million financial services professionals. With a list of clients that includes the major domestic and multinational financial institutions, STC is recognized as the leader in financial services education and training.