Securities Industry Essentials Exam Podcast Intro - a podcast by Franz

What is the Securities Industry Essentials Exam Podcast?

The Securities Industry Essentials Exam Podcast is for the individual who is interested in working in the financial services industry. To enter this profession there is now the requirement effective October 1, 2018 to take and pass the Securities Industry Essentials Exam (SIE Exam). This exam is a prerequisite exam needed prior to taking most of the other FINRA Series of Exams.



This Securities Industry Essentials Exam Podcast will contain a series of sample lessons which will cover the material required to be mastered in order to pass the Securities Industry Essentials Exam.



This introduction to the Securities Industry Essentials Exam podcasts, Outlines the exam and what is covered in the exam.



In order to take the Securities Industry Essentials Exam all that is required is that the candidate is 18 years or older it is not required that you are currently working in the financial services industry.





What is the Securities Industry Essentials Exam Podcast

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam



Securities Industry Essentials 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.



Unlike the licensing exams such as the Series 4,6, 7, 9, 10… which require te candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over te age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.

Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

Essentials exam results are valid for four years.



More information on the http://www.finra.org/industry/essentials-exam

Further episodes of SIE Exam: Securities Industry Essentials Exam Lessons and Information

Further podcasts by Franz

Website of Franz