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Personal Financial Planning
19. CHAPTER 18: THE PRACTICE OF FINANCIAL PLANNING/Securities Industry Essentials (SIE) Exam
19. CHAPTER 18: THE PRACTICE OF FINANCIAL PLANNING Illustration
Syllabus Slides

Securities Industry Essentials (SIE) Exam

01.Core Concepts

• General knowledge exam covering basic information • Capital markets • Products and risks • Trading • Customer accounts • Prohibited activities • Regulatory framework • No need for an industry sponsor to take SIE exam • Must then have sponsorship by a firm and take other exams to be registered with FINRA and firm