Pass Perfect News

SIE: One Week In

Our candidates are taking the Securities Industry Essentials (SIE) exam with confidence.

After over one week, the results are in! Our students who complete the SMART SIE and get a green light are passing the SIE with no issues. Their comments to us state that they were fully prepared, that there were no surprises, and that they were confident throughout the test.

The reason why SMART SIE works for an exam that is drawn from such a broad range of content is that it goes through the entire study outline in a proper learning order, adapting to the students’ strengths and weaknesses as they progress. There are NO gaps in coverage and the depth of our question pool assures the students of a "test-like" experience when taking our final exams.

We are receiving numerous inquiries from individuals who failed the SIE using competitive materials that rely on the old "take a few finals and you should pass" approach. This does not work with the new exam format because the content outline is broad and the test is narrow in question selection, especially for people first entering the business.

Our name says it all with the new SIE exam - you will PASS with Pass Perfect!

SIE Available for Purchase

The wait for the BEST SIE exam preparation material is over.

The SMART SIE Program and its associated bundles are now available for purchase! Get the edge you need to open a new window of opportunity in the securities industry.

Please visit our SIE Page for details.

Why You Should Take Your Securities Licensing Exam NOW!

The big changes to the FINRA registered representative exams take effect October 1st, 2018. Here is what it means for you!

  1. As long as you are registered to take your exam by September 30th, 2018, you will take the current exam. You have 120 days to do this, so the current exams will be administered through January 2019.

  2. Taking the current exam means that you take only 1 exam to be licensed - not 2, which will be the case with the upcoming FINRA restructure.

  3. Taking the current exam means that you are taking a proven exam that we have trained for over the past 30 years. As long as you do the required work, you have a 94% probability of passing the current exam. As the industry has learned in the past with any new exam, there are always transitional issues, and a lower passing percentage, until everyone gets used to the new format.

Anyone who is thinking about taking the Series 7 or Series 6 exam in the next few months should take their test NOW and not wait until the new format starts!

The Questions We Are Being Asked About SIE

How long will someone need to study to prepare for the SIE?
We estimate that it will take about 25 hours to review the course content, and that the candidate will need to complete at least 10 Practice Finals, which should take about another 13 hours. Plan on studying a total of around 40 hours to prepare for the SIE

How much overlap is there between the SIE and the revised Series 7 Top-Off Exam?
A lot! The SIE covers most of the Series 7 content on a basic level. What is missing from the SIE - and which will only be covered in the Top-Off - is advanced options strategies, margin accounts and margin account calculations, advanced suitability questions, most of taxation and most of analysis.

How much overlap is there between the SIE and the revised Series 6 Top-Off Exam?
Not so much! The SIE is basically a Series 7 "light." It covers a much broader range of information than the current Series 6 exam - and the content is tougher. For those individuals taking the SIE in preparation for the Series 6 Top-Off, the SIE should be the tougher exam.

Should I take the SIE and Top-Off exam on the same day?
We are not recommending this. The SIE content should be studied, and the exam taken, before starting the study process for the Series 6 or Series 7 Top-Off exam. However, the Top-Off should be taken as soon as possible after passing the SIE.

Can I take the SIE now?
The SIE will not be offered by FINRA until October 1st, 2018. That is the first day that anyone can sign up for the test.

Can I start studying for the SIE now?
We are recommending that people interested in preparing for the SIE should start studying in September of 2018.

What if I want to take the "old" Series 6 or Series 7 exam?
Anyone who opens a test window in CRD before October 1st will be given the "old" exam. Because the window is open for 120 days, this means that the old exam(s) will still be administered through January 2019.

Can I take the Top-Off exam before I take the SIE?
You could, but it really does not make any sense. The SIE is basic material that the Top-Off exam builds on.

Will taking the SIE get me a job at a FINRA member firm?
No! It simply shows that you are motivated and interested in getting a job with a FINRA member firm. In order to take a Series 6 or Series 7 (Top-off) exam you must be sponsored by a FINRA member firm and complete a background check. This means that the firm must hire you.

Stay up-to-date: learn more.

We Are Ready for the SIE Exam

We have completed our Securities Industry Essentials (SIE) Textbook and are currently wrapping up our SMART SIE Interactive Web Training Program. The SIE Course is divided into three modules, covering the content of the FINRA Study Outline.

The Three Modules are:

Module I Module II Module III
New Issues
Customer Accounts
Packaged Products
Retirement / Education Plans
Analysis / Taxes
Trading Markets

Each module is followed by a Mastery Exam. By breaking apart the content into three modules, students can more easily cover the three "more difficult" areas of the examination - Debt, Options and Regulations, and can also refresh on these areas as they are getting close to taking the actual examination. After completing the three modules, students can take representative sample Finals from our extraordinarily large pool of exam-related questions.

The textbook is 525 pages long, excluding Chapter Exams, Mastery Exams and Final Exams. With over 30 years of experience in writing, teaching and building FINRA exam training courses, we are confident that our program has the depth of content necessary to pass this new exam.

Pricing will be announced at that time. Associates in the compliance or registrations departments of FINRA member firms who wish to obtain a sample copy can contact us directly for a free review copy at:

Sign up for the latest SIE news, updates and discounts at:

About Pass Perfect

Pass Perfect is a leading developer of targeted, effective training programs for Series 7 and other FINRA and NASAA securities licensing exams.

Our level of experience and expertise is unmatched. Over the last 30 years we have successfully trained over 1,000,000 individuals for these exams.

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