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The Securities Industry Essentials (SIE) Exam 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.

Passing the SIE alone does not qualify an individual for registration with a FINRA member firm or to engage in securities business. In order to become registered to engage in securities business, an individual must pass the SIE and a qualification exam appropriate for the type of business the individual will engage in. The individual must be associated with a member firm to take a qualification exam.

The Series 6 Exam measures the candidate's readiness to perform the critical functions of an investment company and variable contract products representative.

The Series 6 License is great for advancing your career and enables the holder to register as a company's representative and sell mutual funds, variable annuities and insurance. Common jobs utilizing the Series 6 license include financial advisors, retirement plan specialists, investment advisors and private bankers.

The Series 7 Exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities representative, including sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options and government securities.