SIE: Regulation A

Taken from our Securities Industry Essentials Exam

Definition of the term Regulation A...

a set of SEC rules that permits non-reporting companies who do not wish to raise more than $75 million in equity over a one-year period to avoid standard registration requirements.

+ Read More

More SIE Info

What are people saying?

Create an Account

We have an excellent Audiobook for the SIE!

Since you're reading about SIE: Regulation A, you might also be interested in:

Series 6 - bearish

Series 65 - defease

Series 79 - syndicate settlement date

Series 65 - custodian

Series 52 - accretion

Series 79 - stepped-up basis

Series 3 - Treasury bill (T-bill)

Series 24 - Regulation NMS

Series 66 - anticipation notes

Series 50 - flipping

Series 99 - principal

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Soloman's practice exams are a powerful tool! Just passed SIE - will be looking to use their other content for the top-off exams very soon. Thank you!

John S. Clearing Firm Charlotte, NC

Passed SIE today! The tools and layout here was instrumental in my success. On to the S7...

Ronald Adams Northwestern Mutual Milwaukee, WI

Solomon has been hugely helpful to me. In 2022, they helped me prepare for the SIE, Series 63, and Series 79 exams, and I passed all 3 on the first try. I give huge credit to their focused materials and suggested timelines for keeping me on track!

William Windham, Solebury. Brooklyn, NY.

I found encouragement along the way from reading other people's testimonials, so payback is to write one of my own. Solomon is the gold standard for customer service. I passed the 66, SIE first tries -- received a 69% on the 7 (failed), but passed on the 2nd attempt. I'm in awe over the outreach I received from day 1 but especially from Jeremy on how to move forward after falling short on the Series 7 - followed his advice - one of which was to get the accompanying videos and passed. Watching/studying the Chapter 5 video had a big impact. I also printed the questions I got wrong that I particularly struggled with while taking the online exams, printed and/or turned them into flashcards, then taped many of them around the house. It forced me to constantly revisit the information and moved me past a superficial understanding. I'll take a messy-looking home for a short time than having to retake a 3 hour and 45 minute exam.

Brook Langston, Everspire. Salt Lake City, UT

The (SIE) exam was tough, but I was well prepared after studying with the Solomon Exam Prep guides. Having a set study schedule made this much easier to follow along. I'll definitely be using Solomon for my Series 6 and 63 exams!

Matthew Bird, Lincoln Investment. Liverpool, NY.

Using the Solomon SIE exam practice was a huge help at preparing for the types of questions that were asked on the real test. If you are passing the tests on Solomon’s practice exams with a consistent 75% pass rate, you should feel confident going into the test. Good luck, thank you Solomon!

Blake Rossman, True Wealth Financial, Fircrest, WA