The Financial Industry Regulatory Authority (FINRA) provides the SIE Exam to assess prospective securities industry professionals' knowledge of basic industry information and fundamental concepts, such as types of products and their risks, the structure of securities industry markets, regulatory agencies and their functions and prohibited practices.

Passing the SIE Exam is only the first required step toward working in the securities industry; individuals must also be associated with a FINRA member firm and pass a qualification exam specific to the type of business in which they work. Still, those who pass the SIE Exam benefit in the following ways:

• Students demonstrate that they are a solid candidate for employment with investment firms, insurance companies, mortgage companies, and banks. 
• First-time investors find out how Wall Street works including basic financial products and their risks, prohibited practices, and functions of regulatory agencies.
• Financial advisors and investment counselors understand better how to match clients with financial products.
• Career changers can make more informed decisions about a career in finance.
• Investors gain accurate information about current securities industry practices.

No experience working in the securities industry nor affiliation with a FINRA member firm is required to take the SIE Exam.

For more information about the SIE Exam preparation course, contact Susan Ballard Shostak at [email protected] or 919-334-1536.

Financial assistance available

Don't have enough money to pay for a course? Right now, Wake Tech's Propel program offers scholarships that cover the cost of registration, fees, books, course-specific supplies and credentialing exams.

The Propel scholarship application is closed while existing applications are being processed.