This OnDemand course is offered in partnership with Zahn Associates, Inc. and allows individuals looking to start their careers in the securities industry. The Securities Industry Essentials® (SIE®) certification is required by the Financial Industry Regulatory Industry (FINRA) as a prerequisite to earning other securities series licenses. Earners of the SIE Certification will standout among their peers and show their commitment to building a career in the finance and securities industry.
To continue learning about the SIE and the securities industry, please click on topics below.
This program was created by Zahn Associates, Inc., a company well-known for helping thousands of people advance their careers by passing the CFP® Certification Examination. The Zahn SIE program offers the following:
SIE Certification is the required first step for anyone pursuing a career in the securities industry and is a prerequisite for earning a Series 6, Series 7, Series 79 or Series 99 license*. Once you pass the SIE, it is valid for 4 years.
*Please note: The Series 6, Series 7, Series 79 and Series 99 licenses require firm sponsorship.
The Securities Industry Essentials Exam is governed by FINRA. The exam is for prospective securities industry professionals and assesses a candidate's understanding of basic securities industry information such as fundamental concepts for working within the industry (i.e., types of products and their risks), regulatory agencies and their functions, best practices, prohibited practices, and the structure of the securities market.
Click here to visit the FINRA SIE Exam webpage.
Exam Snapshot:
The University of Dallas recently earned high marks of excellence from leading publications – including moving up to the #2 spot for “Best Value” among U.S. News & World Report’s "Best Colleges" in the West, as well as The Princeton Review’s Best 388 Colleges and “America’s Top Colleges” by Forbes.
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