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The SIE Exam (Securities Industry Essentials Exam) is a FINRA exam designed to test basic knowledge of the U.S. securities industry. It covers topics such as investment products, securities markets, regulatory agencies, prohibited practices, and industry rules. The SIE Exam is open to individuals aged 18 or older and does not require sponsorship by a FINRA member firm. Passing the exam can help candidates demonstrate foundational knowledge before pursuing qualification exams for specific securities roles.

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