What is the Securities Industry Essentials Exam?
Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam
Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam 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.
Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.
Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.
Essentials exam results are valid for four years.
More information is available at SIEPodcast.com
Securities Industry Essentials Podcast Audio Lessons for the SIE Exam is now available for download!
Securities Industry Essentials Exam Podcast, Audio Lessons for the SIE Exam
Lesson Material 25 hours 18 min
Bonus Material 11 hours 52 Min
Total Course 37 hours 10 Min
72 Audio Files
Table of Contents
| Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam | ||||
| Table of Contents | ||||
| Title | Outline section covered | Hours | Min | Sec |
| Lesson 1 Introduction to the securities industries essentials podcast | 23 | 13 | ||
| Lesson 2 Common Stock | 2.1.1 | 35 | 20 | |
| Lesson 3 Preferred Stock | 2.1.1 | 22 | 6 | |
| Lesson 4 Special Securities | 2.1.1 | 14 | 30 | |
| Lesson 5 Fixed Income Part 1 | 2.1.2 | 23 | 18 | |
| Lesson 6 Fixed Income Part 2 | 2.1.2 | 41 | 22 | |
| Lesson 7 Fixed Income Part 3 | 2.1.2 | 40 | 33 | |
| Lesson 8 Municipal Debt Fixed Income Part 4 | 2.1.2 | 37 | 37 | |
| Lesson 9 Money Markets Fixed Income Part 5 | 2.1.2 | 20 | 38 | |
| Lesson 10 CDS-ARS-SP Fixed Income Part 6 | 2.1.2 | 27 | 26 | |
| Lesson 11 Options Part 1 | 2.1.3 | 24 | 24 | |
| Lesson 12 Options Part 2 | 2.1.3 | 21 | 2 | |
| Lesson 13 Options Part 3 | 2.1.3 | 18 | 27 | |
| Lesson 14 Options Part 4 | 2.1.3 | 20 | 37 | |
| Lesson 15 Options Part 5 | 2.1.3 | 30 | 2 | |
| Lesson 16 Options Part 6 | 2.1.3 | 23 | 46 | |
| Lesson 17 Investment Company Act of 1940 | 1.4.0 | 12 | 8 | |
| Lesson 18 Mutual Funds Part 1 | 2.1.4 | 28 | 54 | |
| Lesson 19 Mutual Funds Part 2 | 2.1.4 | 22 | 25 | |
| Lesson 20 Mutual Funds Part 3 | 2.1.4 | 29 | 17 | |
| Lesson 21 Unit Investment Trusts | 2.1.4 | 27 | 1 | |
| Lesson 22 Annuities | 2.1.4 | 23 | 32 | |
| Lesson 23 Securities Act of 1933 | 1.0.0 | 26 | 45 | |
| Lesson 24 Securities and Exchange Act of 1934 | 1.0.0 | 32 | 28 | |
| Lesson 25 Sarbanes-Oxley Act, Blue Sky Laws etc. | 1.0.0, 2.0.0, 3.0.0 | 28 | 3 | |
| Lesson 26 FINRA Rules pt 1 | 3.0.0 | 30 | 19 | |
| Lesson 27 FINRA Rules pt 2 | 3.0.0 | 28 | 41 | |
| Lesson 28 Municipal Securities Rule making Board Rules MSRB | 2.0.0, 3.0.0 | 38 | 31 | |
| Lesson 29 Securities Trading Markets part 1 | 1.2.0 | 28 | 21 | |
| Lesson 30 Securities Trading Markets part 2 | 1.2.0 | 23 | 1 | |
| Lesson 31 Securities Trading Markets part 3 | 1.0.0, 1.2.0 | 28 | 54 | |
| Lesson 32 Securities Trading Markets part 4 | 1.0.0, 1.2.0 | 35 | 21 | |
| Lesson 33 Securities Trading Markets part 5 | 1.0.0, 1.2.0 | 18 | 51 | |
| Lesson 34 Stock Fundamental Analysis pt. 1, Balance Sheet pt. 1 | 1.0.0, 1.3.2 | 29 | 20 | |
| Lesson 35 Stock Fundamental Analysis pt. 2, Balance Sheet pt. 2 | 1.0.0, 1.3.2 | 25 | 33 | |
| Lesson 36 Stock Fundamental Analysis pt. 3, Balance Sheet pt. 3 | 1.0.0, 1.3.2 | 36 | 17 | |
| Lesson 37 Stock Fundamental Analysis pt 4, Income Statement part 1 | 1.0.0, 1.3.2 | 32 | 32 | |
| Lesson 38 Stock Fundamental Analysis pt 5, Income Statement part 2 | 1.0.0, 1.3.2 | 32 | 55 | |
| Lesson 39 Stock Fundamental Analysis pt 6, Income Statement part 3 | 1.0.0, 1.3.2 | 28 | 33 | |
| Lesson 40 Stock Fundamental Analysis pt 7, Cash Flow Statement pt 1 | 1.0.0, 1.3.2 | 16 | 8 | |
| Lesson 41 Stock Fundamental Analysis pt 8, Cash Flow Statement pt 2 | 1.0.0, 1.3.2 | 23 | 29 | |
| Lesson 42 Stock Fundamental Analysis pt 9, Discounted Cash Flow | 1.0.0, 1.3.2 | 13 | 30 | |
| Lesson 43 Stock Fundamental Analysis pt 10, Ratio Analysis | 1.0.0, 1.3.2 | 14 | 49 | |
| Lesson 44 Technical Analysis | 2.0.0 | 19 | 4 | |
| Lesson 45 Macro Economic Analysis | 1.3.0 | 38 | 49 | |
| Lesson 46 Macro Economic and Portfolio Analysis | 3.2.1 | 34 | 44 | |
| Lesson 47 Margins pt.1 | 3.2.1 | 27 | 6 | |
| Lesson 48 Margins pt.2 | 3.2.1 | 7 | 32 | |
| Lesson 49 SMA | 3.2.1 | 15 | 21 | |
| Lesson 50 Underwriting | 1.4.0 | 39 | 46 | |
| Lesson 51 REITS | 2.1.7 | 20 | 47 | |
| Lesson 52 Partnerships | 2.1.6 | 31 | 52 | |
| Lesson 53 FINRA Rules Review | 1.0.0, 3.0.0 | 27 | 14 | |
| Lesson 54 Yield Curve, Balance of Payments, Exchange Rates, Risk | 1.3.3, 2.2.0, 2.1.0 | 32 | 10 | |
| Lesson 55 Product Specific Investment Risks | 2.0.0 | 13 | 13 | |
| Lesson 56 529 Plans Local Government Investment Oiils ABLE accounts | 2.1.5 | 14 | 25 | |
| Lesson 57 ETF and ETN, Stock Dividends Corporate Actions | 2.1.9, 3.1.4 | 21 | 56 | |
| Lesson 58 Customer accounts and registration AML rules | 17 | 14 | ||
| Post Lesson Comments | 4 | 45 | ||
| SIE Exam Lesson Macrovoices Eurodollar University pt 1 | 47 | 35 | ||
| SIE Exam Lesson Macrovoices Eurodollar University pt 2 | 41 | 39 | ||
| SIE Exam Lesson Macrovoices Eurodollar University pt 3 | 43 | 39 | ||
| SIE Exam Lesson Macrovoices Eurodollar University pt 4 | 54 | 12 | ||
| SIE Exam Lesson Macrovoices Eurodollar University pt 5 | 1 | 16 | 9 | |
| SIE Exam Lesson Macrovoices Eurodollar University pt 6 | 1 | 9 | 24 | |
| SIE Exam Lesson Macrovoices Eurodollar University pt 7 | 1 | 14 | 0 | |
| SIE Exam Lesson Macrovoices Accredited Investor Academy pt 1 Private Banking | 1 | 6 | 45 | |
| SIE Exam Lesson Macrovoices Accredited Investor Academy pt 2 Reinventing yourself | 46 | 47 | ||
| SIE Exam Lesson Macrovoices Accredited Investor Academy pt 3 Alternative Investment offering terms and fee structures Venture Capital, Private Equity | 57 | 18 | ||
| SIE Exam Lesson Macrovoices Accredited Investor Academy pt 3a Angel Investing | 1 | 13 | 37 | |
| SIE Exam Lesson Macrovoices Accredited Investor Academy pt 4 Hedge Funds, Fund-of-Funds, Managed Commodity Futures and CTAs | 1 | 5 | 34 | |
| Total 36 hours 35 Min | ||||
| Lesson Material 25 hours 1 min | ||||
| Bonus Material 11 hours 52 Min | ||||
| Total Course 36 hours 53 Min | ||||
| 71 Audio Files | 36 | 35 | 0 | |