Can You Take the SIE Exam Online?
Discover if you can take the SIE exam online. Learn about the requirements, scheduling process, and what to expect for a smooth online proctored experience.
The Securities Industry Essentials (SIE) Exam is a foundational qualification for individuals entering the financial services sector. This introductory exam assesses understanding of fundamental securities industry concepts, including products, risks, market structures, regulatory bodies, and prohibited practices. Passing the SIE demonstrates basic knowledge, making candidates more marketable to potential employers.
Online SIE Exam Availability
The SIE Exam can be taken online through remote proctoring. This option provides a convenient pathway for candidates to complete the exam from a suitable location. FINRA, the Financial Industry Regulatory Authority, facilitates this by partnering with testing service providers like Prometric. Online proctoring enhances flexibility for test-takers, allowing them to schedule their exam without needing to visit a physical testing center. This remote format removes geographical barriers and offers greater scheduling adaptability.
Requirements for Online Proctoring
Taking the SIE exam online requires meeting specific technical and environmental requirements for a secure testing environment. Candidates must use a desktop or laptop computer with a compatible operating system, a functional webcam, microphone, and speakers. A stable internet connection is crucial; a wired connection is encouraged to minimize disruptions. Prior to the exam, download and install the proctoring software and run a system compatibility check.
The testing environment must be a private, quiet, and well-lit room free from distractions, with no other individuals present. The desk area must be clear of all unauthorized items, including paper, pens, electronic devices, and personal belongings. For identity verification, candidates must present a valid, government-issued photo identification. The name on the ID must precisely match the exam registration, and the ID must be unexpired and include a signature.
Scheduling Your Online SIE Exam
Scheduling an online SIE exam appointment begins with enrollment through FINRA. Candidates create an account and enroll for the SIE exam, paying the examination fee. Upon successful enrollment, FINRA provides a testing window during which the candidate must schedule and complete the exam. After FINRA enrollment, candidates access the designated testing service’s scheduling platform to select the online proctored option.
On the testing service’s website, candidates can search for available dates and times to book their appointment. Review all policies, including those for rescheduling or cancellation, before finalizing. Rescheduling or canceling an exam close to the appointment date may incur a fee or result in forfeiture of the exam fee. A confirmation email detailing the appointment and instructions will be sent upon successful scheduling.
What to Expect During the Online Exam
On exam day, log in to the proctoring software at least 30 minutes before your scheduled appointment to complete check-in. This involves launching the application, identity verification by showing your government-issued photo ID to the webcam, and an environmental scan of your testing area. The proctor may ask for a 360-degree room view and require you to show your ears or clear accessories.
During the exam, strict rules apply to maintain exam integrity; candidates must remain within the webcam’s view, refrain from talking, and ensure no unauthorized materials are present. Digital tools, such as a calculator and notepad, are provided within the exam interface, as physical scratch paper is prohibited. A live proctor continuously monitors the session, and communication with them, if needed, occurs via chat or microphone. Upon completion, an unofficial pass or fail notification is displayed on screen, with official results posted to FINRA’s systems within three business days.