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FINRA Exam > SIE > SIE – Step 1: Introduction to the Securities Industry > SIE – Step 1: Introduction to the Securities Industry

SIE – Step 1: Introduction to the Securities Industry

“Introduction to the Securities Industry” is the first step in the SIE Exam Mastery Course — a structured, beginner-friendly introduction to financial markets, regulatory bodies, market participants, and the licensing process. Ideal for students new to the industry or preparing for their first FINRA exam, this course builds the foundation required to move confidently through the full SIE curriculum.

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'FINRA Exam Mastery'
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SIE Exam Mastery Course

Step 1: Introduction to the Securities Industry

Start with the foundation. Learn how the financial system works, who regulates it, and how your career begins here.

🟢 Course Overview

Introduction to the Securities Industry is Step 1 of the full 12-step SIE Exam Mastery course. This course provides the essential context for everything that comes next — capital markets, participants, regulations, ethics, and licensing.

If you’re just beginning your journey toward FINRA certification, this is where it all starts.

By the end of this course, you’ll have a clear understanding of:

  • How the securities industry operates

  • What roles key players like broker-dealers, custodians, and investment advisers play

  • Why the industry must be regulated

  • Who the regulators are (SEC, FINRA, SROs)

  • How the SIE Exam fits into your path to becoming a licensed professional

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🎯 What You’ll Learn

In this course, you’ll build your foundation by exploring:

  • The structure and function of capital markets

  • The difference between the primary and secondary markets

  • The responsibilities of major market participants

  • The role of regulators in maintaining market integrity

  • The purpose and structure of the SIE Exam itself

You’ll also become familiar with the language of the industry — terminology, concepts, and frameworks — that appear throughout the SIE and your future licensing journey.

👤 Who This Course Is For

This course is perfect for:

  • Students preparing for the SIE Exam

  • Career changers entering the financial services industry

  • University students interested in licensing

  • Anyone looking for a clear and simple introduction to the securities industry

No prior experience is required. If you’re starting from zero, this is exactly where you belong.

📦 Course Contents

This course includes:

  • 🎥 Video lesson – A professionally guided breakdown of how the industry works

  • 📄 Downloadable summary sheet – Key terms, concepts, and visual diagrams

  • ✅ Quiz – Test your understanding before moving to the next step

  • 💬 Case study – A real-world example showing how regulation protects investors

All materials are available on-demand and optimized for desktop and mobile.

🧭 Next Step in the Program

Once you complete this course, you’ll move on to:

👉 Step 2: Investment Products – Learn how securities like stocks, bonds, ETFs, and mutual funds work.

The full SIE Exam Mastery course includes 12 steps in total, guiding you all the way from fundamentals to final practice exam and exam-day strategy.

🔒 Access This Course

This course is part of the full SIE Exam Mastery program, available to members only.

Your membership includes:

  • All 12 SIE exam steps

  • Quizzes and downloadable resources for every step

  • A full-length final practice exam

  • Lifetime access — no expiration

  • Access to all other FINRA licensing prep (Series 6, 7, 24, 63, 66, etc.)

👉 [Join Now – One-Time Payment of $1,350]
Unlock this course and the full program instantly.

What is the Series 7 exam? Answer: The Series 7 exam, also known as the General Securities Representative Exam, is a test administered by FINRA (Financial Industry Regulatory Authority) that qualifies individuals to work as general securities representatives. Passing this exam is essential for anyone who wants to trade securities, such as stocks, bonds, and mutual funds.
How long is the Series 7 exam? Answer: The Series 7 exam is 3 hours and 45 minutes long. It consists of 125 multiple-choice questions, covering various topics related to securities trading and regulations.
What topics are covered in the Series 7 exam? Answer: The exam covers a broad range of topics, including equity securities, debt instruments, investment companies, options, trading markets, customer accounts, and FINRA rules and regulations.
Do I need any prerequisites to take the Series 7 exam? Answer: Yes, you must be sponsored by a FINRA member firm or a self-regulatory organization (SRO) to take the Series 7 exam. Additionally, you need to pass the Securities Industry Essentials (SIE) exam before you can sit for the Series 7 exam.
How should I prepare for the Series 7 exam? Answer: Preparation involves studying comprehensive course materials, taking practice exams, and understanding key concepts and regulations. Our course provides detailed lessons, video tutorials, quizzes, and practice exams to help you prepare effectively.
How much does the Series 7 exam cost? Answer: The exam fee for the Series 7 is $300, which is paid to FINRA when you register for the exam. This fee does not include the cost of study materials or courses.
What is the passing score for the Series 7 exam? Answer: To pass the Series 7 exam, you must score at least 72%. This means you need to correctly answer 90 out of the 125 questions.
How often can I retake the Series 7 exam if I fail? Answer: If you fail the Series 7 exam, you must wait 30 days before retaking it. If you fail three times, there is a 180-day waiting period before you can attempt the exam again.
What resources are included in your Series 7 exam preparation course? Answer: Our course includes video lessons, detailed study guides, practice exams, interactive quizzes, and downloadable resources. Additionally, we provide continuous updates to ensure the material stays current with industry changes.
How do I access the course and what is the cost? Answer: Our Series 7 exam preparation course is available to subscribers for a one-time fee of $490. This fee grants you lifetime access to all our courses, study materials, and updates. You can access the course online from any device with an internet connection.

Announcement for Students: Exciting Updates to Our Series 7 Exam Preparation Course!

Dear Students,

We are thrilled to announce some exciting updates and enhancements to our Series 7 Exam Preparation Course! As part of our ongoing commitment to provide you with the best possible learning experience, we have implemented several new features and resources designed to support your success.

Comprehensive Course Content

Our Series 7 Exam Preparation Course now includes expanded content that covers all key areas of the Series 7 exam in even greater detail. From equity and debt securities to options, trading markets, and customer accounts, our course materials are designed to ensure you have a thorough understanding of all exam topics.

Engaging Video Lessons

We have added more video lessons, featuring detailed explanations and real-world examples to help you grasp complex concepts easily. These videos are led by industry experts who bring their extensive knowledge and experience directly to you, making learning both engaging and effective.

Interactive Quizzes and Practice Exams

To reinforce your learning and help you gauge your understanding, we have included more interactive quizzes and practice exams throughout the course. These quizzes mirror the format of the actual Series 7 exam, providing you with a realistic test-taking experience. Detailed explanations for each question help you understand the rationale behind the correct answers.

Downloadable Study Materials

Our course now offers a wider range of downloadable study materials, including comprehensive study guides, detailed notes, and useful charts and graphs. These resources are designed to supplement your learning and provide you with additional tools to review key concepts at your convenience.

Lifetime Access and Continuous Updates

For a one-time fee of $490, you gain lifetime access to our Series 7 Exam Preparation Course, as well as all future updates and new content. We continuously revise and expand our course materials to reflect the latest industry changes and exam updates, ensuring you always have access to the most current information.

Supportive Learning Community

Join a vibrant community of like-minded individuals who are also preparing for the Series 7 exam. Share insights, ask questions, and support each other through our interactive forums and discussion groups. Our dedicated support team is also here to assist you with any questions or issues you may encounter along the way.

We are confident that these updates will enhance your learning experience and better prepare you for the Series 7 exam. Thank you for choosing us as your trusted partner in your journey towards becoming a certified securities representative. We look forward to celebrating your success!

Best regards,

FINRA Exam Mastery

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