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But before you can lose yourself in the energy of the office, the eager voices of your clients, and the warm glow of success, you have to face the SIE as well as one of the top-off (qualification) exams such  \nas the Series 7 or Series 6. In this chapter, I give you an overview of the SIE exam, including its purpose, structure, format, scoring, and some helpful tips to guide you through the registration procedure.  \nThis book’s first four chapters go over things like what the exam is, how to study for it, how to take the test, and so on. If you feel that you have a handle on those things, feel free to jump to Chapter 5 to get right into the meat and potatoes of what you need to learn.  \nWhat Is the SIE Exam, Anyway?   \nInitially, the information in the SIE (Securities Industry Essentials) exam was included in books that covered the Series 6, Series 7, Series 22, and so on. The Financial Industry Regulatory Authority (FINRA) had the idea to strip similar information from these exams and create the SIE exam. What I’ve found is that besides stripping the information from these other exams, unfortunately for you and other exam-takers, FINRA added a lot more information. What this means is that you’ll have to study a lot of information to answer 75 randomized questions.  \nThe SIE is an introductory-level exam designed to test your basic knowledge of the securities industry and is open to anyone age 18 or older. Fortunately, association with a securities firm isn’t required; individuals may take the SIE exam before or after being hired by a firm. You need  \nCHAPTER 1 Introducing the SIE (Securities Industry Essentials) Exam 7  \nto know certain terminology used in the securities industry, different securities products, how the market is structured, how the market functions, different regulatory agencies and their purposes, as well as regulated and prohibited practices.  \nBecause unsponsored individuals are allowed to take the exam, you can take a step toward becoming a securities professional prior to being hired. (Although you can take the SIE exam and one of the corequisite exams in any order, for most people it makes sense to take the SIE first.)  \nThe purpose of this exam and the corequisite exams is to protect the investing public by ensuring that the individuals who sell or give information about securities have mastered the skills and general knowledge that competent practicing representatives need to have.  \nThe SIE exam itself is a computer-based exam given by Prometric ([www.prometric.com/finra](www.prometric.com/finra)), the testing company chosen by FINRA to provide and oversee their exams. You can take your exam at a Prometric test center throughout the United States or online. (See the “So you want to take the test at your location” sidebar later in this chapter.) The 75-question exam, administered by FINRA, is 105 minutes in duration. A score of 70 percent or better will get you a passing grade and put a big smile on your face. After you pass the SIE, the results remain valid for four years from the date you pass. The passing rate for those taking the SIE exam for the first time is around  \n74 percent. If you include those who have taken the exam more than once, it’s closer to  \n82 percent.  \nThe sections later in this chapter explain the setup of the SIE exam and give a rundown of how to register for the exam. If you have other questions, call the FINRA support team at (240) 386-4040 [or visit](or visit www.finra.org/industry/qualification-exams)[ www.finra.org/industry/qualification-exams](or visit www.finra.org/industry/qualification-exams).  \nProfiling the SIE Exam-Taker   \nT","cbCaitCxXlPoOqJK","https://ap.wps.com/l/cbCaitCxXlPoOqJK","pdf",13870359,12,"English","# Introducing the SIE (Securities Industry Essentials) Exam\n## What Is the SIE Exam, Anyway?\n## Profiling the SIE Exam-Taker\n## One’s Not Enough: Tackling the Corequisite (Top-Off) Exams","[{\"question\":\"Who is eligible to take the SIE exam?\",\"answer\":\"The SIE is an introductory-level exam open to anyone age 18 or older. Sponsorship by a securities firm is not required.\"},{\"question\":\"What are the SIE exam format, length, and passing score?\",\"answer\":\"The SIE is a computer-based exam with 75 randomized questions and a duration of 105 minutes. A score of 70% or better is required to pass.\"},{\"question\":\"What happens after you pass the SIE exam?\",\"answer\":\"Your results remain valid for four years from the date you pass. To become fully qualified, you typically take one corequisite/top-off exam plus, in many cases, a state exam such as Series 63 or Series 66.\"}]","Chapter 1 - Introducing the SIE (Securities Industry Essentials) Exam | PDF",1790390610]