Securities Industry Essentials Examination Course: SIE Exam Prep

About the Securities Industry Essentials Examination (SIE) The SIE is designed to test candidates entering the securities industry in four major topic areas: Knowledge of Capital Markets, focuses on topics such as types of markets and offerings, broker-dealers and depositories, and economic cycles; Understanding Products and their Risks, covers securities products at a high level as well as associated investment risks; Understanding Trading, Customer Accounts and Prohibited Activities, focuses on accounts, orders, settlement and prohibited activities; and, Overview of the Regulatory Framework, encompasses topics such as SROs, registration requirements and specified conduct rules.