![]() Passing the SIE alone does not qualify an individual for registration with a FINRA member firm or to engage in securities business. Association with a firm is not required to take the SIE, and results are valid for four years. The SIE is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to prospective employers. 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. The Securities Industry Essentials ® (SIE ®) Exam is a FINRA exam for prospective securities industry professionals. SIE Reimbursement for Military Veterans.Please see the complete message including information about online test delivery. COVID-19 Guidance on FINRA-Administered Exams
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