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Securities Licensing

Securities Licensing SIE

SECURITIES INDUSTRY ESSENTIALS (SIE)

For most candidates, the first step to becoming licensed is to take the Securities Industry Essentials (SIE) exam. This exam can be taken without corporate sponsorship and is often viewed as a competitive edge if you are trying to get your foot in the door. If you plan to earn a Series 6, Series 7, Series 79 or Series 99, and Series 99 which requires a sponsorship, you are required to first pass the Securities Industry Essentials (SIE) exam. Zahn’s experienced team is ready to help you pass the exam on your first try.

SIE exam: 75 questions | 70% passing score | 50 hours prep time.

  • Considered to be the gateway course required by FINRA to becoming a securities professional
  • Program is open to anyone aged 18 or older
  • Sponsorship with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm
  • SIE results are valid for four years
  • Kickstart your career goals and increase your personal marketability

Class Formats

Access the program at your convenience with prerecorded 15 hours of video lectures. This allows the ease of program access to fit in your schedule. Practice questions are included to master the concepts.

Zahn provides program materials for universities to implement into their degree curriculum. The program includes instructor material, access to OnDemand video lecture recordings along with PowerPoint for each chapter. Practice questions are included with exam analyzer. Instructors have access to the mobile app including Glossary, Acronyms, and Flashcards. Access to our team for guidance in implementing the program.

Partner with us to offer the Zahn Program to your new hires using any format: OnDemand or Live Virtual. Our program has all the resources to help your new hires make the first step in their new career path. The educational resources matched with leading instruction will lead your new hires to successful results.

ZAHN SIE PROGRAM

Zahn instructors present exam-focused materials aiming to the highly difficult tested areas. The course offering is OnDemand and is administered by instructors who have years of experience teaching interactive classes. We understand this is the students first step in their career and value the time we share with them preparing for this exam. Program access is 180 days.

Program includes:

Course lectures are taught by financial services professionals. Instruction includes engaging lectures and display effective learning methods. 15 hours of instruction.

Well-written hard copy to allow for note taking and highlighting key terms and concepts. Practice questions and examples throughout the chapters.

Learning management platform with organized study resources and access to testing tools.

Available on mobile app. Learn key information on-the-go between program materials. This library of additional resources will enhance the overall learning experience with ease.

Connect with a Zahn instructor while preparing for the exam. Material related questions posted on a bulletin board will be answered within 24 hours.

Practice question bank available with exam analyzer. Unlimited use.

SUPPLEMENTAL MATERIALS

Supplemental materials are designed to enhance your core study for exam prep purposes. These items are not meant to be a replacement for the Zahn SIE Program but supplement exam prep studies. Each product can be used as an analyzer to identify different areas that students need to personally focus on.

  • Practice Questions – Bank of practice questions
  • Acronyms, Glossary, Flashcards: available on mobile app only
NOTE:
  • Access to materials for 180 days
  • Orders placed prior to 2 PM ET will be processed same business day. Orders placed after 2 PM ET will be processed the next business day.

 

Purchase

SECURITIES INDUSTRY ESSENTIALS EXAM

The SIE exam evaluates a student’s knowledge of the basics of securities industry. The exam focus is on a range of topics including industry terminology, the structure and market functions, regulatory agencies functions, securities products and regulated practices.

The SIE exam consists of 75 multiple choice questions.

To learn more about the specifics of the exam and FINRA policies:

FINRA
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