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FINRA Securities Industry Essentials (SIE) Practice Exam

FINRA Securities Industry Essentials (SIE)

About FINRA Securities Industry Essentials (SIE)

The Securities Industry Essentials (SIE) Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.

Who should take the exam?

The SIE is a broad introduction to the securities industry. 

  • An undergrad exploring finance
  • A sophomore or junior seeking a financial internship
  • A business major without solid job plans
  • A business student who has extra time to invest over the summer or break
  • An experienced employee from another profession applying for a financial position
  • An experienced employee from another profession who wants to know more about opportunities in the securities industry

Course Structure

The FINRA Securities Industry Essentials (SIE) Exam covers the following topics - 

1. Knowledge of Capital Markets 16% 

Regulatory Entities, Agencies and Market Participants 

Market Structure

Economic Factors


2. Understanding Products and Their Risks 44% 


Investment Risks 

3. Understanding Trading, Customer Accounts and Prohibited Activities 31% 

Trading, Settlement and Corporate Actions  

Customer Accounts and Compliance Considerations

Prohibited Activities

4. Overview of the Regulatory Framework 9%

SRO Regulatory Requirements for Associated Persons

Employee Conduct and Reportable Events

Exam Pattern 

  • Exam Name: FINRA SIE
  • Number of Questions: 75
  • Length of Time:  1 hour and 45 minutes
  • Registration Fee: USD 60
  • Passing Score: 70 (on a scale of 0 to 100)
  • Exam Language English

What do we offer?

  • Full-Length Mock Test with unique questions in each test set
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  • An in-depth and exhaustive explanation for every question
  • Reliable exam reports evaluating strengths and weaknesses
  • Latest Questions with an updated version
  • Tips & Tricks to crack the test
  • Unlimited access


What are our Practice Exams?

  • Practice exams have been designed by professionals and domain experts that simulate exam scenario.
  • Practice exam questions have been created on the basis of content outlined in the official documentation.
  • Each set in the practice exam contains unique questions built with the intent to provide experience to the candidates as well as gain more confidence during exam preparation.
  • Practice exams help to self-evaluate against the exam content and work towards building strength to clear the exam.
  • You can also create your own practice exam based on your choice and preference 

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