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\nCAPITAL MARKETS GROUP Richmond 􀁸 Baltimore 􀁸 Chicago 􀁸 Dallas | [www.matrixcmg.com](www.matrixcmg.com)  \nFINRA-Securities Industry Essentials (SIE) Exam  \nDescription of the SIE Exam  \nThe Securities Industry Essentials (SIE) Exam is a required FINRA exam for individuals who would like to pursue a career in the financial services industry. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as:  \n􀁸 Knowledge of capital markets  \n􀁸 Understanding products and their risks  \n􀁸 Understanding trading, customer accounts and prohibited activities  \n􀁸 Overview of regulatory framework  \nKey Features of the SIE Exam  \nThe SIE Exam is open to anyone 18 years or older, including students and other individuals interested in the financial industry, and association with a FINRA member is not required. SIE Exam results are valid for four years. For additional information, please visit:  \n[http://www.finra.org/industry/enroll-for-sie](http://www.finra.org/industry/enroll-for-sie)  \nExam Requirements – Matrix  \nIt is not required that you pass the SIE Exam prior to joining Matrix, however it is preferred, as you will also need to pass the FINRA Investment Banking Representative (Series 79) Exam and the FINRA Uniform Securities Agent (Series 63) Exam within the first six months of joining the firm.  \nFor additional information, please visit: [http://www.finra.org/](http://www.finra.org/)  \nMatrix is an independent, advisory focused, privately-held investment bank","cbCaicgtbD4PfxEq","https://ap.wps.com/l/cbCaicgtbD4PfxEq","pdf",124159,"English","# Description of the SIE Exam\n## Key Features of the SIE Exam\n# Exam Requirements – Matrix","[{\"question\":\"Who is eligible to take the SIE Exam?\",\"answer\":\"The SIE Exam is open to anyone 18 years or older, and association with a FINRA member firm is not required to take the test.\"},{\"question\":\"What are the primary topics covered in the SIE Exam?\",\"answer\":\"The exam assesses knowledge of capital markets, financial products and their associated risks, trading practices, customer accounts, prohibited activities, and the general regulatory framework.\"},{\"question\":\"What are the additional certification requirements for joining Matrix?\",\"answer\":\"While passing the SIE is not a strict prerequisite for joining Matrix, new hires are expected to pass the FINRA Investment Banking Representative (Series 79) and Uniform Securities Agent (Series 63) exams within their first six months.\"}]","FINRA-Securities Industry Essentials (SIE) Exam - Guidelines and Requirements | PDF",1790390730]