{"id":21736,"date":"2018-01-16T15:28:24","date_gmt":"2018-01-16T15:28:24","guid":{"rendered":"http:\/\/panth.dev.stcusa.com\/?page_id=21736"},"modified":"2024-10-01T18:04:40","modified_gmt":"2024-10-01T18:04:40","slug":"financial-institutions","status":"publish","type":"page","link":"https:\/\/www.stcusa.com\/sie\/financial-institutions\/","title":{"rendered":"Financial Institutions"},"content":{"rendered":"<p>[vc_row el_class=&#8221;heroContainer&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column]<section class=\"hero-section image-as-background hero-large hide-branch\" style=\"background-image: url(https:\/\/www.stcusa.com\/wp-content\/uploads\/2018\/01\/SIE_Institutions_2880x1038.jpg);\"><div class=\"hero-content-container\">\n\n\t<h1 class=\"section-title color-white\">Securities Industry Essentials (SIE) Exam<\/h1>\n\t<h2 class=\"section-subtitle h2 color-white\">Financial Institutions<\/h2>\n\t\t\t\t<a href=\"https:\/\/www.stcusa.com\/securities\/licensing\/us\/sie\/\" class=\"button ghost color-stc-aqua \"><span class=\"button-text\">Enroll Now<\/span><\/a>\n\t<\/div><span class=\"hero-bottom-tree\"><\/span><\/section><!-- .hero-section -->[\/vc_column][\/vc_row][vc_row el_class=&#8221;tabs&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column]<section class=\"content-tabs-module\"><ul class=\"content-tabs-header\"><li aria-controls=\"sie-home\"><a data-url=\"\/sie\/\" href=\"#tab-sie-home\"><span>SIE Home<\/span><\/a><\/li><li class=\"active-tab ui-tabs-active\" aria-controls=\"financial-institutions\"><a data-url=\"\/sie\/financial-institutions\" href=\"#tab-financial-institutions\"><span>Financial Institutions<\/span><\/a><\/li><li aria-controls=\"non-licensed-employees\"><a data-url=\"\/sie\/non-licensed-employees\" href=\"#tab-non-licensed-employees\"><span>Non-Licensed Employees<\/span><\/a><\/li><li aria-controls=\"career-changers\"><a data-url=\"\/sie\/career-changers\" href=\"#tab-career-changers\"><span>Career Changers<\/span><\/a><\/li><li aria-controls=\"colleges-universities\"><a data-url=\"\/sie\/colleges-universities\/\" href=\"#tab-colleges-universities\"><span>Colleges &amp; Universities<\/span><\/a><\/li><li aria-controls=\"sie-news\"><a data-url=\"\/sie\/sie-news\" href=\"#tab-sie-news\"><span>SIE News<\/span><\/a><\/li><li aria-controls=\"sie-faqs\"><a data-url=\"\/sie\/sie-faqs\" href=\"#tab-sie-faqs\"><span>SIE FAQs<\/span><\/a><\/li><\/ul><a href=\"#\" class=\"content-tabs-button button color-violet\"><span class=\"button-text\">Go<\/span><\/a><div id=\"tab-sie-home\" class=\"content-tabs-container \" ><\/div><div id=\"tab-financial-institutions\" class=\"content-tabs-container active\" ><\/div><div id=\"tab-non-licensed-employees\" class=\"content-tabs-container \" ><\/div><div id=\"tab-career-changers\" class=\"content-tabs-container \" ><\/div><div id=\"tab-colleges-universities\" class=\"content-tabs-container \" ><\/div><div id=\"tab-sie-news\" class=\"content-tabs-container \" ><\/div><div id=\"tab-sie-faqs\" class=\"content-tabs-container \" ><\/div><\/section>[\/vc_column][\/vc_row][vc_row el_class=&#8221;desc&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column offset=&#8221;vc_hidden-sm vc_hidden-xs&#8221;]<header class=\"module-heading\"><h1 class=\"section-title  color-stc-aqua\">What is the Securities Industry Essentials (SIE) Exam? <\/h1><\/header>[vc_column_text]<strong>To reduce the overlapping content among exams, the SIE Exam will cover the basic knowledge that can be found on current examinations including:<\/strong>[\/vc_column_text][vc_column_text el_class=&#8221;lists&#8221;]<\/p>\n<ul>\n<li>Industry structure and function<\/li>\n<li>Regulatory agencies<\/li>\n<li>Basic economics<\/li>\n<li>Basic product knowledge<\/li>\n<li>Prohibited practices<\/li>\n<li>Professional conduct<\/li>\n<\/ul>\n<p>[\/vc_column_text][vc_empty_space height=&#8221;50px&#8221;][\/vc_column][\/vc_row][vc_row el_class=&#8221;mobile-row&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column offset=&#8221;vc_hidden-lg vc_hidden-md&#8221;]<header class=\"module-heading\"><h1 class=\"section-title  color-stc-aqua\">What is the Securities Industry Essentials (SIE) Exam? <\/h1><\/header>[vc_column_text css=&#8221;.vc_custom_1549056944922{margin-right: 10px !important;margin-left: 10px !important;}&#8221;]<strong>To reduce the overlapping content among exams, the SIE Exam will cover the basic knowledge that can be found on current examinations including:<\/strong>[\/vc_column_text][vc_column_text el_class=&#8221;lists&#8221; css=&#8221;.vc_custom_1549056950923{margin-right: 10px !important;margin-left: 10px !important;}&#8221;]<\/p>\n<ul>\n<li>Industry structure and function<\/li>\n<li>Regulatory agencies<\/li>\n<li>Basic economics<\/li>\n<li>Basic product knowledge<\/li>\n<li>Prohibited practices<\/li>\n<li>Professional conduct<\/li>\n<\/ul>\n<p>[\/vc_column_text][vc_empty_space height=&#8221;50px&#8221;][\/vc_column][\/vc_row][vc_row equal_height=&#8221;yes&#8221; content_placement=&#8221;middle&#8221; css=&#8221;.vc_custom_1520353791404{padding-top: 75px !important;padding-right: 100px !important;padding-bottom: 50px !important;padding-left: 100px !important;background-color: #f5f2ee !important;}&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column width=&#8221;1\/4&#8243; offset=&#8221;vc_hidden-sm vc_hidden-xs&#8221;][\/vc_column][vc_column width=&#8221;1\/3&#8243; offset=&#8221;vc_hidden-sm vc_hidden-xs&#8221;][vc_single_image image=&#8221;22056&#8243; img_size=&#8221;350&#215;350&#8243; css=&#8221;.vc_custom_1520019338567{margin-right: 0px !important;border-right-width: 0px !important;padding-right: 0px !important;}&#8221;][\/vc_column][vc_column width=&#8221;1\/3&#8243; css=&#8221;.vc_custom_1549057114451{margin-top: 110px !important;margin-left: 0px !important;border-left-width: 0px !important;padding-left: 0px !important;}&#8221; el_class=&#8221;specialp&#8221; offset=&#8221;vc_hidden-sm vc_hidden-xs&#8221;][vc_column_text css=&#8221;.vc_custom_1520347370082{margin-right: 50px !important;margin-left: 0px !important;border-left-width: 0px !important;padding-left: 0px !important;}&#8221;]<\/p>\n<p class=\"p1\">The SIE exam will serve as a precursor to taking qualifying exams in candidates\u2019 desired area of expertise. A combination of the SIE exam and the additional test will be the equivalent to securities exams currently being offered.<\/p>\n<p>[\/vc_column_text][\/vc_column][vc_column width=&#8221;1\/6&#8243; offset=&#8221;vc_hidden-sm vc_hidden-xs&#8221;][\/vc_column][\/vc_row][vc_row css=&#8221;.vc_custom_1549057096810{background-color: #f5f2ee !important;}&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column offset=&#8221;vc_hidden-lg vc_hidden-md&#8221;][vc_single_image image=&#8221;22056&#8243; img_size=&#8221;350&#215;350&#8243; alignment=&#8221;center&#8221; css=&#8221;.vc_custom_1549057146908{margin-right: 10px !important;margin-left: 10px !important;border-right-width: 0px !important;padding-right: 0px !important;}&#8221;][vc_column_text css=&#8221;.vc_custom_1549057160544{margin-right: 10px !important;margin-left: 10px !important;border-left-width: 0px !important;padding-left: 0px !important;}&#8221;]<\/p>\n<p class=\"p1\">The SIE exam will serve as a precursor to taking qualifying exams in candidates\u2019 desired area of expertise. A combination of the SIE exam and the additional test will be the equivalent to securities exams currently being offered.<\/p>\n<p>[\/vc_column_text][\/vc_column][\/vc_row][vc_row el_class=&#8221;desc&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column offset=&#8221;vc_hidden-sm vc_hidden-xs&#8221;][vc_empty_space height=&#8221;50px&#8221;][vc_column_text el_class=&#8221;mustard&#8221;]<strong>Two important distinctions\u00a0<\/strong>[\/vc_column_text][vc_column_text el_class=&#8221;orderedLists&#8221;]<\/p>\n<ol>\n<li>Sponsorship by a member firm will not be required to sit for the exam so that, like many non-FINRA exams (Series 3, 63, 65, etc.), anyone will be able to register to take the exam. Sponsorship, however, is still required to sit for a qualifying exam.<\/li>\n<li>The passing score on the SIE exam will be valid for a period of four years from the date the individual passes the exam.\n<ul class=\"child-list\" style=\"list-style-type: lower-alpha;\">\n<li>Existing registrants will be considered to have \u201cpassed\u201d the SIE exam so that no additional testing will be required in their registered position. This \u201cpassing\u201d will be valid for four years upon leaving the industry. However, a qualifying exam will be required if the registrant returns to the industry following a two-year absence and both the SIE Exam and the qualifying exam will be required following a four-year absence.<\/li>\n<li>For example, a general securities rep (Series 7) moving into investment banking would need to take the Series 79 qualifying exam but not the SIE Exam.<\/li>\n<\/ul>\n<\/li>\n<\/ol>\n<p>[\/vc_column_text][vc_column_text]<strong>What will be eliminated?<\/strong>[\/vc_column_text][vc_column_text]The following exams that traditionally have had a small pool of test takers will be eliminated:[\/vc_column_text][vc_column_text el_class=&#8221;lists&#8221;]<\/p>\n<ul>\n<li>Series 11 (Order Processing Assistant)<\/li>\n<li>Series 42 (Options Representative)<\/li>\n<li>Series 62 (Corporate Securities Representative) and<\/li>\n<li>Series 72 (Government Securities Representative)<\/li>\n<\/ul>\n<p>[\/vc_column_text][vc_column_text]Although these exams will be retired, individuals who have these registrations will continue to hold them for two years following their departure from the industry[\/vc_column_text][vc_empty_space height=&#8221;50px&#8221;][\/vc_column][\/vc_row][vc_row el_class=&#8221;mobile-row&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221; css=&#8221;.vc_custom_1549057368699{margin-right: 10px !important;margin-left: 10px !important;}&#8221;][vc_column offset=&#8221;vc_hidden-lg vc_hidden-md&#8221;][vc_empty_space height=&#8221;50px&#8221;][vc_column_text el_class=&#8221;mustard&#8221;]<\/p>\n<p style=\"text-align: center;\"><strong>Two important distinctions\u00a0<\/strong><\/p>\n<p>[\/vc_column_text][vc_column_text el_class=&#8221;orderedLists&#8221; css=&#8221;.vc_custom_1549057270131{margin-right: 10px !important;margin-left: 10px !important;}&#8221;]<\/p>\n<ol>\n<li>Sponsorship by a member firm will not be required to sit for the exam so that, like many non-FINRA exams (Series 3, 63, 65, etc.), anyone will be able to register to take the exam. Sponsorship, however, is still required to sit for a qualifying exam.<\/li>\n<li>The passing score on the SIE exam will be valid for a period of four years from the date the individual passes the exam.\n<ul class=\"child-list\" style=\"list-style-type: lower-alpha;\">\n<li>Existing registrants will be considered to have \u201cpassed\u201d the SIE exam so that no additional testing will be required in their registered position. This \u201cpassing\u201d will be valid for four years upon leaving the industry. However, a qualifying exam will be required if the registrant returns to the industry following a two-year absence and both the SIE Exam and the qualifying exam will be required following a four-year absence.<\/li>\n<li>For example, a general securities rep (Series 7) moving into investment banking would need to take the Series 79 qualifying exam but not the SIE Exam.<\/li>\n<\/ul>\n<\/li>\n<\/ol>\n<p>[\/vc_column_text][vc_column_text css=&#8221;.vc_custom_1549057277538{margin-left: 10px !important;}&#8221;]<strong>What will be eliminated?<\/strong>[\/vc_column_text][vc_column_text css=&#8221;.vc_custom_1549057282120{margin-left: 10px !important;}&#8221;]The following exams that traditionally have had a small pool of test takers will be eliminated:[\/vc_column_text][vc_column_text el_class=&#8221;lists&#8221; css=&#8221;.vc_custom_1549057289289{margin-right: 10px !important;margin-left: 10px !important;}&#8221;]<\/p>\n<ul>\n<li>Series 11 (Order Processing Assistant)<\/li>\n<li>Series 42 (Options Representative)<\/li>\n<li>Series 62 (Corporate Securities Representative) and<\/li>\n<li>Series 72 (Government Securities Representative)<\/li>\n<\/ul>\n<p>[\/vc_column_text][vc_column_text css=&#8221;.vc_custom_1549057294211{margin-left: 10px !important;}&#8221;]Although these exams will be retired, individuals who have these registrations will continue to hold them for two years following their departure from the industry[\/vc_column_text][vc_empty_space height=&#8221;50px&#8221;][\/vc_column][\/vc_row][vc_row css=&#8221;.vc_custom_1519150632738{background-color: #ebe6de !important;}&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221; el_class=&#8221;desc&#8221;][vc_column offset=&#8221;vc_hidden-sm vc_hidden-xs&#8221;][vc_empty_space height=&#8221;50px&#8221;]<header class=\"module-heading\"><h1 class=\"section-title  color-stc-aqua\">How Could the SIE Exam Impact Your Firm?<\/h1><\/header>[vc_column_text]After October 1, your new hires who require registration will need to take two exams. You can have new hires take only the Securities Industry Essentials Exam initially, and then take qualification exam(s) as needed. However, since this exam will be open to all, there are many possibilities to consider:[\/vc_column_text][vc_column_text el_class=&#8221;lists lastlist&#8221;]<\/p>\n<ul>\n<li>The SIE Exam can provide a meaningful way to educate new hires and existing employees.<\/li>\n<li>With Permissive Registration, firms will be able to develop their employees and associates.<\/li>\n<li>Firms may reduce training time and costs by requiring new hires to obtain the SIE Exam in advance of employment.<\/li>\n<li>Allow all employees to take the SIE Exam.<\/li>\n<li>In many cases, the SIE training could replace the existing \u201cIntro to the Securities Industry\u201d courses which firms provide to their employees.<\/li>\n<li>Make the SIE Exam a requirement for all employees, or those in select departments (e.g., legal, operations). This change may require firms to pay for these exams, reimburse employees who have passed them, or have the employee pay.<\/li>\n<li>Initially, many firms will support training programs for both the SIE Exam and qualification exams. This may change as the SIE Exam becomes part of university curriculum and career placement programs.<\/li>\n<li>STC has built relationships with colleges and universities through our General Securities College Program which will be incorporating the SIE Exam into their curriculum.<\/li>\n<\/ul>\n<p>[\/vc_column_text][vc_empty_space height=&#8221;185px&#8221;][\/vc_column][\/vc_row][vc_row css=&#8221;.vc_custom_1549057389390{background-color: #ebe6de !important;}&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221; el_class=&#8221;mobile-row&#8221;][vc_column offset=&#8221;vc_hidden-lg vc_hidden-md&#8221;][vc_empty_space height=&#8221;50px&#8221;]<header class=\"module-heading\"><h1 class=\"section-title  color-stc-aqua\">How Could the SIE Exam Impact Your Firm?<\/h1><\/header>[vc_column_text css=&#8221;.vc_custom_1549057405181{margin-right: 10px !important;margin-left: 10px !important;}&#8221;]After October 1, your new hires who require registration will need to take two exams. You can have new hires take only the Securities Industry Essentials Exam initially, and then take qualification exam(s) as needed. However, since this exam will be open to all, there are many possibilities to consider:[\/vc_column_text][vc_column_text el_class=&#8221;lists lastlist&#8221; css=&#8221;.vc_custom_1549057412669{margin-right: 10px !important;margin-left: 10px !important;}&#8221;]<\/p>\n<ul>\n<li>The SIE Exam can provide a meaningful way to educate new hires and existing employees.<\/li>\n<li>With Permissive Registration, firms will be able to develop their employees and associates.<\/li>\n<li>Firms may reduce training time and costs by requiring new hires to obtain the SIE Exam in advance of employment.<\/li>\n<li>Allow all employees to take the SIE Exam.<\/li>\n<li>In many cases, the SIE training could replace the existing \u201cIntro to the Securities Industry\u201d courses which firms provide to their employees.<\/li>\n<li>Make the SIE Exam a requirement for all employees, or those in select departments (e.g., legal, operations). This change may require firms to pay for these exams, reimburse employees who have passed them, or have the employee pay.<\/li>\n<li>Initially, many firms will support training programs for both the SIE Exam and qualification exams. This may change as the SIE Exam becomes part of university curriculum and career placement programs.<\/li>\n<li>STC has built relationships with colleges and universities through our General Securities College Program which will be incorporating the SIE Exam into their curriculum.<\/li>\n<\/ul>\n<p>[\/vc_column_text][vc_empty_space height=&#8221;90px&#8221;][\/vc_column][\/vc_row]<\/p>\n","protected":false},"excerpt":{"rendered":"<p>[vc_row el_class=&#8221;heroContainer&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column][\/vc_column][\/vc_row][vc_row el_class=&#8221;tabs&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column][\/vc_column][\/vc_row][vc_row el_class=&#8221;desc&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column offset=&#8221;vc_hidden-sm vc_hidden-xs&#8221;][vc_column_text]To reduce the overlapping content among exams, the SIE Exam will cover the basic knowledge that can be found on current examinations including:[\/vc_column_text][vc_column_text el_class=&#8221;lists&#8221;] Industry structure and function Regulatory agencies Basic economics Basic product knowledge Prohibited practices Professional conduct [\/vc_column_text][vc_empty_space height=&#8221;50px&#8221;][\/vc_column][\/vc_row][vc_row el_class=&#8221;mobile-row&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column [&hellip;]<\/p>\n","protected":false},"author":59,"featured_media":0,"parent":30123,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":""},"class_list":["post-21736","page","type-page","status-publish","hentry"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v23.9 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Financial Institutions | STC<\/title>\n<meta name=\"description\" content=\"To 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