SIE Exam Prep Package: Online

New York Institute of Finance


Self Paced Course

Available Now





63 Hours





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SIE Exam Prep Package: Online

Passing the Securities Industry Essentials exam is your gateway to entering the financial services industry. It is the corequisite to all top off exams and provides you with the core knowledge needed to become registered. The SIE Exam Prep package presented by the Securities Institute of America, Inc., and the New York Institute of Finance has it all and guides you through the study process. 

This online, self-study package comprises 63 hours of premium exam prep content including:

  • 180 days of instant access.
  • 12+ hours of video training that covers the exam prep manual chapter by chapter to ensure comprehension.
  • 400-page exam prep textbook and eBook.
  • Unlimited simulated exams and topic-focused practice exams with over 1,000 randomized questions.
  • Plus, comprehensive question and exam reports, checkpoint exams, greenlight exams, exam plan personal study calendar, online tools and cheat sheets, test tip videos, and phone, email, and chat support.

Prerequisite knowledge:

  • None.


  • To become registered with a broker dealer you will be required to pass an appropriate top off examination. Depending on your role at the firm you will need to pass either the series 6,7,79 or 99 exams.


Note: After you’ve purchased the SIE Exam Prep Package on, you'll receive your login details and access instructions from within 1 business day. This course will be administered on the Securities Institute's learning management portal. If you have selected Pay by Invoice, you will receive login details once NYIF has received your payment.


Learn now pay later with

To make it even easier to learn, you can finance your program through Affirm.

Loans offered through Affirm are available in the U.S. and Canada.

  • Easy monthly payments

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  • Flexible payments

    Pay your monthly bill using a bank transfer, check, or debit card.

Duration : 2.6 Hours

  • Common stock, preferred stock, rights, warrants, settlement dates, dividend distribution, voting procedures, American depositary shares, REITS and more

Duration : 2.5 Hours

  • Corporate bonds, bond pricing, calculating yields, bonds ladders, convertible bonds, bond ratings, CMOS, exchange traded notes, variable rate securities, General obligation and revenue bonds, Industrial revenue bonds, double barreled bonds, issuing municipal securities, the underwriting syndicate, competitive and negotiated offerings, underwriter’s compensation, eastern and western accounts and more

Duration : 1 Hour

  • Treasury bills, notes and bonds, Treasury pricing, STRIPS and receipts, Treasury inflation protected securities, agency issues and more

Duration : 1.2 Hours

  • Money market operations, commercial paper, banker’s acceptances, repurchase agreements, government money market instruments, interest rates, LIBOR and more

Duration : 1 Hour

  • Fundamental factors used in measuring economic activity, GDP, the business cycle, leading and lagging economic indicators, schools of economic thought, monetary and fiscal policy, the federal reserve board and more

Duration : 3.5 Hours

  • The securities Act of 1933, prospectus requirements, Final, preliminary and free writing prospectuses, cooling off period, tombstone ads, free riding and withholding, underwriting corporate securities, type of underwriting commitments, underwriter’s compensation, private placements, Rule 144, Regulation A and S offerings, Rule 145,147, 415 and more

Duration : 1.5 Hours

  • The operations of the NYSE and NASDAQ, market orders, limit orders, stop orders and not held orders, the role of the NASDAQ market makers, the role of the designated market maker on the NYSE, short sale rules and regulations, NASDAQ subscription levels, OTC Market, the third market, the 5 percent markup policy, circuit breakers and more

Duration : 2 Hours

  • Option classification, calls and puts, managing an option position, calculating maximum gain loss and breakeven, time value and intrinsic value, using options to hedge and more

Duration : 2 Hours

  • The investment company act of 1940, types of investment companies, open end and closed end mutual funds, diversification requirements, registration requirements, the role of the board of directors, investment adviser, custodian bank and transfer agent, calculating NAV and sales charges and more

Duration : 3.6 Hours

  • Annuity registration and operation, accumulation and annuity units, annuity purchase and payout options, the assumed interest rate, Individual retirement plans, traditional, Roth and Sep IRAs, Tax sheltered annuities, corporate plans, 401Ks, KEOGH plans, ERISA regulations, Tax implications, and more

Duration : 2 Hours

  • Opening and servicing customer accounts, types of accounts, mailing instructions, holding securities, margin accounts, Regulation of credit, Regulation T and the FRB, Calculating required deposits and minimum equity and more

Duration : 2.1 Hours

  • Professional conduct in the securities industry, fair dealing with clients, manipulative and deceptive devices, blanket recommendations, selecting suitable recommendations, borrowing, and lending money, gifts, and gratuities

Duration : 3 Hours

  • The Securities Exchange Act of 1934, the role of the SEC, FINRA regulations and bylaws, hiring new employees, U4s, U5s Continuing education requirements, FINRA Rule 2210 communications with the public, SIPC and more

Duration : 15 Hours

Duration : 20 Hours