Starting a career in finance begins with understanding how the securities industry works.
The Securities Industry Essentials (SIE) examination, administered by FINRA, is an important first step for candidates seeking to develop their knowledge of the U.S. securities industry and prepare for future roles in financial services.
FINRA describes the SIE as an assessment of basic securities-industry knowledge, including securities products, market structure, regulatory agencies and regulated and prohibited practices.
The Financial Regulation Courses SIE Prep course provides structured preparation for the SIE examination through comprehensive PDF study material covering the foundations of the securities industry, including securities products, market structure, trading, customer accounts, regulatory requirements, and the roles and responsibilities of financial-industry professionals.
We don't believe your learning should stop at the edge of your course.
When you're preparing for the SIE, there will be subjects you want to understand more deeply, concepts you want to revisit, and questions that may come to mind as your examination approaches. Your preparation should give you somewhere to turn when those moments arise.
The Financial Regulation Courses Dictionary is an open educational resource available alongside your SIE preparation.
It gives you access to detailed explanations and video explainers covering financial regulation, securities, market structure, industry terminology, FINRA rules, SEC regulatory requirements and related financial-services subjects.
If you need to revisit a difficult subject, the resource is there. If you want to understand a concept from another perspective, it is there. If a question comes to mind before examination day, you can explore it there too.
We don't believe you should have to purchase another study package simply because you want to understand more. The Dictionary is available to support your studies at no additional cost, giving you access to a wider educational resource alongside your structured SIE preparation.
FINRA Rule 1210 (Registration Requirements) is one example: FINRA's SIE materials specifically direct candidates to Rule 1210.03, and the rule establishes the registration framework for individuals functioning in registered capacities at FINRA member firms.
The Dictionary extends beyond the immediate SIE curriculum as well, with subjects relevant to further FINRA examinations and financial-services roles, including Series 7, Series 24, Series 63 and Series 65. This gives you the opportunity to continue developing your knowledge, explore different areas of financial services and gain a better understanding of the professional and examination pathways that may be relevant to your future.
The SIE is an important first step, but preparing for the examination can also help you become a more credible and competitive candidate when you begin applying for opportunities in financial services.
Financial Regulation Courses membership is designed to help reduce hiring friction by giving employers a faster way to verify a candidate's professional development and credibility.
When you apply for an internship, graduate position or other financial-services opportunity, your Financial Regulation Courses QR code can be placed directly on your resume, allowing a hiring manager to instantly access your secure Financial Regulation Courses digital profile.
The profile shows the courses you are actively studying and your real-time progress. Your progress is earned through the course itself: each chapter assessment must be successfully completed before the next chapter is unlocked. This means the progress an employer sees represents earned and assessed learning, rather than simply showing that you have opened or accessed a course.
For employers, this provides a clearer picture of the knowledge a candidate is actively developing without requiring them to rely solely on claims made on a resume or during an interview. For you, it can help reduce the uncertainty that often exists when an employer is assessing a candidate's preparation, commitment and credibility.
By making your professional development easier to verify, you can give hiring managers additional evidence when comparing candidates and help reduce the friction involved in assessing your readiness for the opportunity.
Your SIE preparation is not only about preparing for an examination. It can also help you demonstrate that you are preparing for the career that follows it.
The SIE is the starting point. Your professional development does not have to stop there.
$129.00
Per Month
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