Securities Industry Essential Exam | How To Pass SIE Exam |
The SIE Exam is an introductory-level exam offered by FINRA
The exam assesses a candidate’s knowledge of basic securities industry information
Topics that are covered include following :
Industry terminology;
Different types of securities and their risks;
The structure of the securities industry market;
Regulatory agencies and their functions; and
Prohibited practices.
The SIE Exam is open to anyone 18 or over.
Passing the SIE exam alone does not qualify an individual to work in the securities business
Prospective securities industry professionals must also pass subsequent qualification exams appropriate for the type of business that the individual will be engaged in.
Structure of the exam
The SIE Exam consists of 75 multiple choice questions covering the fundamental concepts of the following four sections:
2. Knowledge of Capital Markets (12 questions)
2. Understanding Products and Their Risks (33 questions)
3. Understanding Trading, Customer Accounts, and Prohibited Activities (23 questions)
4. Overview of the Regulatory Framework (7 questions)
Test takers are given one hour and 45 minutes to complete the online exam.
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