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Pass the Challenging SIE Test
The Securities Industry Essentials Test is a new FINRA test for prospective securities industry professionals. This introductory-level test 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. In order to become registered to engage in securities business, an individual must pass the SIE test and a qualification test appropriate for the type of business the individual will engage in.