SIE – 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 classes are taught along with the Series 6 & 63 course and does not require a sponsor to take the exam.

Series 6 – Will provide students with knowledge of procedures, policies, 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).

Series 63 – Portion is the Uniform Securities Agent State Licensing Exam (USASLE). This covers the 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.