49 episodes

The SIE Exam Podcast (Securities Industry Essentials Exam Podcast) is for the individual who is interested in working in the financial services industry. To enter this profession there is now the requirement effective October 1, 2018 to take and pass the Securities Industry Essentials Exam (SIE Exam). This exam is a prerequisite exam needed prior to taking most of the other FINRA Series of Exams. This Securities Industry Essentials Exam Podcast will contain a series of sample lessons which will cover the material required to be mastered in order to pass the Securities Industry Essentials Exam. This introduction to the Securities Industry Essentials Exam podcasts, Outlines the exam and what is covered in the exam. In order to take the Securities Industry Essentials Exam all that is required is that the candidate is 18 years or older it is not required that you are currently working in the financial services industry.

SIE Exam: Securities Industry Essentials Exam Lessons and Information Franz

    • Careers
    • 4.3, 26 Ratings

The SIE Exam Podcast (Securities Industry Essentials Exam Podcast) is for the individual who is interested in working in the financial services industry. To enter this profession there is now the requirement effective October 1, 2018 to take and pass the Securities Industry Essentials Exam (SIE Exam). This exam is a prerequisite exam needed prior to taking most of the other FINRA Series of Exams. This Securities Industry Essentials Exam Podcast will contain a series of sample lessons which will cover the material required to be mastered in order to pass the Securities Industry Essentials Exam. This introduction to the Securities Industry Essentials Exam podcasts, Outlines the exam and what is covered in the exam. In order to take the Securities Industry Essentials Exam all that is required is that the candidate is 18 years or older it is not required that you are currently working in the financial services industry.

    2020 SIE Exam Lesson 7 Fixed Income pt. 3

    2020 SIE Exam Lesson 7 Fixed Income pt. 3

    Securities Industry Essentials SIE Exam Sample Lesson Fixed Income pt. 3

    Fixed Income pt. 3 lesson is a portion of the sample lessons we will be sharing with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition" this lesson: Fixed Income pt. 3 is the second of several lessons on fixed income. This is the SIE Exam Lesson on Fixed Income pt. 3



    Total Course 36 hours 53 Min



    36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam



    58 Audio Lessons for Securities Industry Essentials Exam



    13 Bonus Lessons about the finance industry



    Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

    The full course details:

    36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

    58 Audio Lessons for Securities Industry Essentials Exam



    13 Bonus Lessons about the finance industry



    Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

    New Series 7 Exam and SIE Exam details.

    All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

    https://www.finra.org/industry/essentials-exam



    * “Securities Industry Essentials (SIE) Exam

    Available Beginning October 1, 2018

    The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, 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.

    Key Features of the Essentials Exam

    ________________________________________

    • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.

    • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

    • Essentials exam results are valid for four years.

    The Essentials Exam at a Glance

    ________________________________________

    Number of Items 75

    Format Multiple Choice

    Duration 105 minutes

    Passing Score 70%

    Cost $60”



    New Series 7 Exam

    The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

    Major Job Functions Percentage of Test Questions Number of Test Questions

    (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9

    (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11

    (F3) Provides Customers with Information about Investments,

    • 19 min
    2020 SIE Exam Lesson 6 Fixed Income pt. 2

    2020 SIE Exam Lesson 6 Fixed Income pt. 2

    Securities Industry Essentials SIE Exam Sample Lesson Fixed Income pt. 2

    This is Fixed Income pt. 2 lesson is a portion of the sample lessons we will be sharing with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition" Fixed Income pt. 2 is the second of several lessons on fixed income. This is the SIE Exam Lesson on Fixed Income pt. 2



    Total Course 36 hours 53 Min



    36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam



    58 Audio Lessons for Securities Industry Essentials Exam



    13 Bonus Lessons about the finance industry



    Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

    The full course details:

    36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

    58 Audio Lessons for Securities Industry Essentials Exam



    13 Bonus Lessons about the finance industry



    Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

    New Series 7 Exam and SIE Exam details.

    All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

    https://www.finra.org/industry/essentials-exam



    * “Securities Industry Essentials (SIE) Exam

    Available Beginning October 1, 2018

    The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, 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.

    Key Features of the Essentials Exam

    ________________________________________

    • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.

    • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

    • Essentials exam results are valid for four years.

    The Essentials Exam at a Glance

    ________________________________________

    Number of Items 75

    Format Multiple Choice

    Duration 105 minutes

    Passing Score 70%

    Cost $60”



    New Series 7 Exam

    The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

    Major Job Functions Percentage of Test Questions Number of Test Questions

    (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9

    (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11

    (F3) Provides Customers with Information about Investments,

    • 15 min
    2020 SIE Exam Lesson 5 Fixed Income pt. 1

    2020 SIE Exam Lesson 5 Fixed Income pt. 1

    Securities Industry Essentials SIE Exam Sample Lesson Fixed Income pt. 1

    This is Fixed Income pt. 1 lesson is a portion of the sample lessons we will be sharing with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition" Fixed Income pt. 1 is the first of several lessons on fixed income.



    This is the SIE Exam Lesson on Fixed Income pt. 1



    Total Course 36 hours 53 Min



    36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam



    58 Audio Lessons for Securities Industry Essentials Exam



    13 Bonus Lessons about the finance industry



    Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

    The full course details:

    36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

    58 Audio Lessons for Securities Industry Essentials Exam



    13 Bonus Lessons about the finance industry



    Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

    New Series 7 Exam and SIE Exam details.

    All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

    https://www.finra.org/industry/essentials-exam



    * “Securities Industry Essentials (SIE) Exam

    Available Beginning October 1, 2018

    The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, 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.

    Key Features of the Essentials Exam

    ________________________________________

    • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.

    • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

    • Essentials exam results are valid for four years.

    The Essentials Exam at a Glance

    ________________________________________

    Number of Items 75

    Format Multiple Choice

    Duration 105 minutes

    Passing Score 70%

    Cost $60”



    New Series 7 Exam

    The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

    Major Job Functions Percentage of Test Questions Number of Test Questions

    (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9

    (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11

    (F3) Provides Customers with Information about Investments,

    • 14 min
    2020 SIE Exam Lesson 3 Preferred Stock

    2020 SIE Exam Lesson 3 Preferred Stock

    Securities Industry Essentials SIE Exam Sample Lesson 2 Preferred Stock

    This portion of the Preferred Stock lesson is a portion of the sample lessons we will be sharing with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition"



    This is the SIE Exam Lesson on Preferred Stock



    Total Course 36 hours 53 Min



    36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam



    58 Audio Lessons for Securities Industry Essentials Exam



    13 Bonus Lessons about the finance industry



    Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

    The full course details:

    36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

    58 Audio Lessons for Securities Industry Essentials Exam



    13 Bonus Lessons about the finance industry



    Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

    New Series 7 Exam and SIE Exam details.

    All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

    https://www.finra.org/industry/essentials-exam



    * “Securities Industry Essentials (SIE) Exam

    Available Beginning October 1, 2018

    The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, 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.

    Key Features of the Essentials Exam

    ________________________________________

    • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.

    • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

    • Essentials exam results are valid for four years.

    The Essentials Exam at a Glance

    ________________________________________

    Number of Items 75

    Format Multiple Choice

    Duration 105 minutes

    Passing Score 70%

    Cost $60”



    New Series 7 Exam

    The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

    Major Job Functions Percentage of Test Questions Number of Test Questions

    (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9

    (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11

    (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations,

    • 16 min
    2020 SIE Exam Lesson 2 Common Stock

    2020 SIE Exam Lesson 2 Common Stock

    Securities Industry Essentials SIE Exam Sample Lesson 2 Common Stock

    This portion of the Common Stock lesson is a portion of the sample lessons we will be sharing with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition"



    This is the SIE Exam Lesson on Common Stock



    Total Course 36 hours 53 Min



    36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam



    58 Audio Lessons for Securities Industry Essentials Exam



    13 Bonus Lessons about the finance industry



    Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

    The full course details:

    36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

    58 Audio Lessons for Securities Industry Essentials Exam



    13 Bonus Lessons about the finance industry



    Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

    New Series 7 Exam and SIE Exam details.

    All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

    https://www.finra.org/industry/essentials-exam



    * “Securities Industry Essentials (SIE) Exam

    Available Beginning October 1, 2018

    The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, 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.

    Key Features of the Essentials Exam

    ________________________________________

    • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.

    • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

    • Essentials exam results are valid for four years.

    The Essentials Exam at a Glance

    ________________________________________

    Number of Items 75

    Format Multiple Choice

    Duration 105 minutes

    Passing Score 70%

    Cost $60”



    New Series 7 Exam

    The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

    Major Job Functions Percentage of Test Questions Number of Test Questions

    (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9

    (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11

    (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations,

    • 18 min
    SIE Exam Lesson 27 FINRA Rules pt 2 2020

    SIE Exam Lesson 27 FINRA Rules pt 2 2020

    SIE Exam Lesson 27 FINRA Rules pt 2 2020

    This is about one half of the full length of this audio lesson for SIE Exam Lesson 27 FINRA Rules pt 2



    This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the full 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed income

    The full course details:

    36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

    58 Audio Lessons for Securities Industry Essentials Exam



    13 Bonus Lessons about the finance industry



    Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam





    New Series 7 Exam and SIE Exam details.

    FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions.



    https://www.finra.org/industry/series7



    However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

    https://www.finra.org/industry/essentials-exam



    “Securities Industry Essentials (SIE) Exam

    Available Beginning October 1, 2018

    The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, 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.

    Key Features of the Essentials Exam

    ________________________________________

    • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.

    • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

    • Essentials exam results are valid for four years.

    The Essentials Exam at a Glance

    ________________________________________

    Number of Items 75

    Format Multiple Choice

    Duration 105 minutes

    Passing Score 70%

    Cost $60”

    New Series 7 Exam

    “On or After October 1, 2018

    The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

    Major Job Functions Percentage of Test Questions Number of Test Questions

    (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9

    (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11

    (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91

    (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreem...

    • 22 min

Customer Reviews

4.3 out of 5
26 Ratings

26 Ratings

Alwayslearning221 ,

Great Help!

For those of us who like to learn while driving this has been a great find. I like his voice and method of teaching. This has been a great way to help me learn the concepts of the financial markets. The fact that Franz is older and has seen a lot in his career helps add to the lessons. I really like his personal stories to help reinforce the teaching concepts.
I purchased his full course from his website and I am happy that I did!

Sailor 1953 ,

Perfect

For those of us who like to learn while driving this has been a great find. I like his voice and method of teaching. This has been a great way to help me learn the concepts of the financial markets. The fact that Franz is older and has seen a lot in his career helps add to the lessons. I really like his personal stories to help reinforce the teaching concepts.
I purchased his full course from his website and I am happy that I did!

Funman2008 ,

Good information!

I want to enter the financial services industry this podcast is a great way to start learning about the topics I need to understand in order to take the securities industry’s essentials exam. It’s great that now I can prepare for this examination and my entry into the financial services industry without being required to be an employee of a broker dealer or associated firm of FINRA.
I enjoyed the audio method of learning and I’m glad that Franz is putting out this series of audio lessons.

Top Podcasts In Careers

Listeners Also Subscribed To