What to Bring (and Not Bring) to the SIE Exam

The Securities Industry Essentials (SIE) exam serves as an entry-level assessment for individuals aspiring to work in the financial securities industry. Passing this exam demonstrates a foundational understanding of the industry, its products, and regulatory framework. Understanding the logistical requirements for exam day, especially concerning personal items, ensures a smooth testing experience, allowing candidates to focus entirely on the exam itself.

Essential Identification

To be admitted to the SIE exam, candidates must present two forms of unexpired identification as required by FINRA. The primary form must be government-issued, include a photograph, and bear a signature (e.g., driver’s license, passport, state-issued ID). A secondary form, such as a credit card, debit card, or employee ID, must also include a signature.

The name on both identification documents must match the name used for exam registration. Discrepancies or expired identification will result in the candidate being turned away. Test centers also require a thumbprint for identity verification.

Items Not Permitted

To maintain exam security, strict rules prohibit certain items in the testing room. Electronic devices, including phones, smartwatches, fitness trackers, tablets, laptops, and personal calculators, are forbidden. These must be stored in provided lockers or left outside the facility.

Personal belongings like wallets, purses, bags, briefcases, coats, hats, and scarves are also not allowed. Study materials, such as notes, textbooks, scratch paper, pens, pencils, and highlighters, are prohibited. Outside food or beverages are not permitted inside the testing room.

Resources Provided by the Testing Center

Testing centers provide all necessary materials for the exam. A reusable noteboard with a dry-erase marker or scratch paper and a pencil are provided for calculations or notes, eliminating the need to bring your own.

An on-screen basic four-function calculator is available within the exam software for numerical computations. The exam is administered on a computer at individual testing stations. These provisions ensure all candidates have access to the same tools and resources.

Exam Day Arrival and Procedures

Arrive at the testing center at least 30 minutes before your scheduled exam time. This allows ample time for check-in, including presenting identification and having a photograph taken.

Candidates will undergo security screening, which may involve metal detectors, physical inspections, or emptying pockets. Prohibited personal belongings must be stored in assigned lockers, with access restricted until the exam is complete. After clearing security, candidates are escorted into the testing room to begin their exam.