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Securities > Exam Preparation > Course Details

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Securities Package Deal: Securities Industry Essentials (SIE), Series 6 & 63 Exam Prep w/ Study Material

IDFormatPubcodeHours Price
192854Classroom Quick Learning School32 $750.00
Two (2) day SIE Exam Prep; One (1) day Series 6; and one (1) day exam prep for Series 63 all three exam must be passed to transact Variable Life Products as well as Mutual Funds and various Retirement Plans. to register for exam go to: file a U-4 form if with a Brokerage for Series 6 for SIE and Series 3 a U-10 form if not with any Brokerage firm. Once registered, FINRA will open a 120-day window within which an YOU may schedule YOUR exam.
Securities Industry Essentials is a 2 day full classroom training and study material, This is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses Your 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. Please NOTE: Passing the Essentials exam alone does not qualify YOU for registration with a FINRA member firm or to engage in securities business. In order to become registered to and engage in securities business, YOU must pass the Essentials exam and register to take a Series 6 and 63 before you can engage in any security transactions. Pay once, and take as many times as you need, within 6 months. In this package you will also be provided a one (1) exam prep for your Series 6 covers the four (4) main job functions of an investment company and variable contracts products representative such as: Seeking Business for the Broker-dealer from Customers and Potential Customers, Opening Accounts After Obtaining and Evaluating Customers Financial Profile and Investment Objectives, Providing Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records, and Obtaining and Verifying Customers Purchase and Sales Instructions; Processes, Completes and Confirms Transactions. One (1) Series 63 covers the principles of state securities regulation established in the Uniform Securities Act, including the rules prohibiting dishonest and unethical business practices. The examination is intended to provide a basis for state securities administrators to determine an applicants knowledge and understanding of state law and regulations. Call office for Class Special arrangements in your own office min. of 15 students;
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