SIE (Securities Industry Essentials) Requirements & Prerequisites
Everything you need to know before registering for the SIE (Securities Industry Essentials), eligibility, cost, format, and what to expect on exam day.
Cost
$100
Provider
FINRA
Validity
4 years
Available
USA
Education
Check official exam requirements
Experience
6-12 months of relevant experience recommended
Specific Requirements
- You must be at least 18 years old.
- No sponsoring broker-dealer is required. Unlike every other FINRA representative exam, you can enroll yourself through TESS without a firm filing a Form U4.
- No U.S. citizenship or residency requirement.
- No prior education, degree or work experience requirement.
- You do need to complete enrollment and pay the $100 fee before scheduling, which opens a 120-day window in which the exam must be taken.
Number of Questions
85 items total: 75 scored plus 10 unidentified pretest items that do not count toward your score
Duration
1 hour and 45 minutes
Question Format
Four-option multiple choice, one correct answer
Passing Requirement
70 on a scale of 0 to 100. FINRA places each candidate's score on a common scale and makes statistical adjustments for variations in difficulty between item sets, so every candidate is held to the same standard and no fixed raw count is published.
How It Is Delivered
Computer-based through Prometric, either at a Prometric test centre or remotely through the ProProctor online platform
Languages Offered
English (FINRA does not list additional exam languages on its SIE page; extra time is available as an accommodation for approved limited English proficiency requests)
Visit the official FINRA certification page
Create an account and select your exam
Choose a test center or online proctoring option
Pay the exam fee and schedule your date
- Two forms of valid ID (one government-issued with photo)
- Appointment confirmation email
- For online proctoring: webcam, microphone, clean desk, stable internet
What are the prerequisites for the SIE (Securities Industry Essentials)?
You must be at least 18 years old.. No sponsoring broker-dealer is required. Unlike every other FINRA representative exam, you can enroll yourself through TESS without a firm filing a Form U4.. No U.S. citizenship or residency requirement.. No prior education, degree or work experience requirement.. You do need to complete enrollment and pay the $100 fee before scheduling, which opens a 120-day window in which the exam must be taken..
How much does the SIE (Securities Industry Essentials) cost?
The SIE (Securities Industry Essentials) exam costs $100. This includes the exam fee only, study materials are additional.
How do I register for the SIE (Securities Industry Essentials)?
Visit the official FINRA certification page → Create an account and select your exam → Choose a test center or online proctoring option → Pay the exam fee and schedule your date
What should I bring to the SIE (Securities Industry Essentials)?
Two forms of valid ID (one government-issued with photo). Appointment confirmation email. For online proctoring: webcam, microphone, clean desk, stable internet.
Ready to prepare for SIE (Securities Industry Essentials)?
Get the complete exam guide with study plan, tips, and practice questions.
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