Securities Industry Essentials
(SIE) Online Course

Master the concepts required to pass with integrated videos, streamlined content, chapter and comprehensive exams. Our online course is designed to ensure you pass your licensing exam on your first attempt.

What will I learn?

Effective October 1, 2018, securities industry professionals holding a securities representative-level license are qualified to sell specific securities products, depending on which license is held, a Series 6 or a Series 7. As part of the process of becoming securities licensed, all candidates must pass both the Securities Industry Essentials (SIE) exam and a representative-level top off exam.

The SIE exam measures entry-level knowledge of basic securities industry concepts. SIE exam candidates must have a basic understanding of markets, securities products and their risks, securities trading, customer accounts, prohibited activities and the regulatory framework. This course will deliver the content needed to successfully complete the examination requirements.

Testable topics include:

Federal securities regulations, registration, qualification and termination of employment processes, product definitions and classifications, communications with the public, investment company definitions, classifications and registration, prospectus requirements, evaluating customer's financial information, investment objectives, suitable recommendations, types of investment returns, tax considerations, securities markets, prohibited activities, customer accounts, activity, confirmations and complaint procedures, investigations, code of arbitration and code of procedures, sanctions and penalties.

Watch, read, and listen to curriculum developed by industry experts & cross-referenced with the exam content outline.
Test your knowledge with retention questions, activities, chapter quizzes and simulate your licensing exam.
Pass your exam on the first attempt with courses trusted by the nation's top banks and insurance companies.
Online Courses feature engaging, interactive, and effective learning methods
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Video Lessons

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Chapter Exam and Retention Questions

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Drag and Drop Activities

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Printable PDF Study Manual

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Content Slides

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Simulated Licensing Exams

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Audio Enabled

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Online Note Taking

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Searchable Content

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A.D. Banker Support

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You need to pass
Watch, read, and listen to curriculum developed by industry experts.
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What our students are saying:


"The information that was given was very helpful to me in passing the exam"

"My experience with A.D. Banker was great, the information that was given was very helpful to me in passing the exam. What I loved the most about A.D. Banker was the overall comprehensive exam at the end that was 110 questions. After I had passed the test the first time, I would go over all my notes and take the test again until I felt like I knew the material. I was surprised to see some of the same questions that was asked of us on the practice test was on the real test. This is a great system and I'm thankful that it was in place for me to be able to pass the actual test. Thank You."

- Douglas P.

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