Securities Industry Essentials (SIE)
The Securities Industry Essentials (SIE or 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. The SIE course is taught along with the Series 6 & 63 courses.
Series 6 & 63 Securities Licensing
The Series 6 will provide students with the knowledge of procedures, polices and regulations surrounding the sale of investment products and variable contracts. The program curriculum covers stocks, securities, investment banking, securities markets, taxes, mutual funds, variable annuities, retirement plans, variable life insurance, securities analysis and self-regulatory organizations (SROs).
The Series 63 portion is the Uniform Securities Agent State Licensing Exam (USASLE). This covers definition of terms, registration requirements for brokers/dealers, agents and investment advisors, regulations of securities, fraudulent and other prohibited practices, regulatory oversights and criminal penalties.
Series 65 Securities Licensing
The Series 65 (Uniform Investment Adviser Law Examination) will provide students with the knowledge of procedures, policies and regulations surrounding their role as an Investment Advisor Representative. The program curriculum covers Economic Factors, Investment Vehicle Characteristics, Client Investment Recommendations & Strategies, and Laws/Regulations/Guidelines.
Class times are as follows:
Two Day Weekend Classes – Saturday & Sunday – 8:30 am – 5:00 pm