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Securities Industry Essentials License Exam Manual, 1st Edition (Revised) Paperback – 2019

Partner with the industry leader in securities licensing exam preparation. Kaplan provides the critical knowledge needed to help you succeed on the Securities Industry Essentials (SIE) exam. Our content development is based around the SIE Exam Content Outline provided by FINRA.


The primary exam topics are:


Understanding Products and Their Risks;

Understanding Trading, Customer Accounts, and Prohibited Activities;

Knowledge of Capital Markets; and Overview of Regulatory Framework.

This comprehensive textbook is the foundation of your series exam preparation. The text addresses key terms and significant topics, broken down into easily digestible units. Units contain multiple graphics, exercises, quizzes, and discussion questions to help you learn faster and remember important information as you prepare for your series exam

You will get a PDF (6MB) file

$ 20.00

$ 20.00

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