64 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

    • Business
    • 4.4 • 40 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.

    2021 SIE Exam Lesson 21 Unit Investment Trusts

    2021 SIE Exam Lesson 21 Unit Investment Trusts

    SIE Exam Lesson 21 Unit Investment Trusts 2021

    This is about one half of the full length of this audio lesson for SIE Exam Lesson 21 Unit Investment Trusts



    This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the new 37 hour and 10 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition"



    Total Course 37 hours 10 Min



    37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam



    59 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:

    37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

    59 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,

    • 26 min
    2021 SIE Exam Lesson 20 Mutual Funds 1

    2021 SIE Exam Lesson 20 Mutual Funds 1

    SIE Exam Lesson 20 Mutual Funds 3 2021

    This is about one half of the full length of this audio lesson for SIE Exam Lesson 20 Mutual Funds 3



    This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the new 37 hour and 10 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition"



    Total Course 37 hours 10 Min



    37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam



    59 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:

    37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

    59 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,

    • 26 min
    2021 SIE Exam Lesson 18 Mutual Funds 1

    2021 SIE Exam Lesson 18 Mutual Funds 1

    SIE Exam Lesson 18 Mutual Funds 1 2021

    This is about one half of the full length of this audio lesson for SIE Exam Lesson 18 Mutual Funds 1



    This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the new 37 hour and 10 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition"



    Total Course 37 hours 10 Min



    37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam



    59 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:

    37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

    59 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,

    • 26 min
    2021 SIE Exam Lesson 15 Options 5

    2021 SIE Exam Lesson 15 Options 5

    SIE Exam Lesson 15 Options 5 2021

    This is about one half of the full length of this audio lesson for SIE Exam Lesson 15 Options 5



    This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the new 37 hour and 10 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition"



    Total Course 37 hours 10 Min



    37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam



    59 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:

    37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

    59 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, Transfers Assets and Maintains Appropriate Recor...

    • 26 min
    2021 SIE Exam Lesson 11 Options 1

    2021 SIE Exam Lesson 11 Options 1

    SIE Exam Lesson 11 Options 1 2020

    This is about one half of the full length of this audio lesson for SIE Exam Lesson 11 Options 1



    This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the new 37 hour and 10 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition"



    Total Course 37 hours 10 Min



    37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam



    59 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:

    37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

    59 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, Transfers Assets and Maintains Appropriate Recor...

    • 26 min
    SIE Exam Lesson 10 CDS-ARS-SP Fixed Income Part 6 Sample 2021

    SIE Exam Lesson 10 CDS-ARS-SP Fixed Income Part 6 Sample 2021

    SIE Exam Lesson 10 CDS-ARS-SP 2020

    This is about one half of the full length of this audio lesson for SIE Exam Lesson 10 CDS-ARS-SP



    This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the new 37 hour and 10 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition"



    Total Course 37 hours 10 Min



    37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam



    59 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:

    37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

    59 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,

    • 26 min

Customer Reviews

4.4 out of 5
40 Ratings

40 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!

tigolbids ,

So much fluff/advertising

6mn give or take of fluff at the beginning, then fluff at the end; find a way to shorten it.

wasting time makes for a low value podcast

It’s ok besides that, but the point about fluff is a point that needs to be given a lot of weight

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!

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