Securities Industry Essentials Exam Prep

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How to Get into the Securities Industry

  1. Get to know the securities industry regulators and rules: FINRA & NASAA
  2. Determine which licenses and/or registrations are needed
  3. Study for your exam: Exam prep courses provide the necessary knowledge and understanding of core principles and regulations. 
  4. Pass your exam: Once you feel prepared, schedule your licensing exam through the appropriate licensing authority.
  5. Submit application, fees and associated paperwork: Complete the application form for your license and submit with fees and any other paperwork such as fingerprints and background checks. 
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Pass Guarantee

Having the right study habits from the beginning will ensure passing the exam on the first try, but if you don't pass we'll refund what you paid.* 

Make a Plan

Use the My Study Plan to create a plan that works for your schedule allowing you to make daily progress. 

Practice Makes Perfect

Use our Exam Tutor, exam simulator, for practicing the state exam as many times as you need for perfect results.

Review On The Go

Printable study charts and mobile-friendly flash cards make reviewing key concepts on the go easy. 

Prep For Test Day

Once you feel ready to take the state exam, make sure to get rest and a meal before entering the test facility. 

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But wait there's more...

What started as an online insurance continuing education company has now become a powerful suite of education experiences offering a variety of products for the financial services industry. We are so much more than CE courses and strive to make completing your requirements simple. With our unique platform you can earn a license, get professional development for career growth, and even get a full service education solution for all your employees. 

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