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FINRA SIE Practice Test Questions Answers

Exam Code: SIE (Updated 164 Q&As with Explanation)
Exam Name: Securities Industry Essentials Exam (SIE)
Last Update: 24-Jun-2025
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Questions Include:

  • Single Choice: 164 Q&A's

  • SIE Overview

    FINRA SIE Exam Overview

    Category Details
    Certification Name FINRA SIE – Securities Industry Essentials (SIE) Exam for General Securities Representative
    Target Audience Individuals seeking to enter the securities industry, including prospective stockbrokers, traders, and financial advisors.
    Purpose Validates a candidate's basic knowledge of the securities industry, including key concepts such as financial markets, regulatory structures, and investment products.
    Exam Duration 1 hour and 45 minutes (105 minutes)
    Number of Questions 75 multiple-choice questions
    Passing Score 70% (53 correct answers out of 75)
    Exam Format Multiple-choice questions
    Exam Delivery Online (via FINRA’s exam portal or Pearson VUE)
    Exam Cost $80 (USD)
    Languages Available English
    Prerequisites No prerequisites required. Open to anyone who is interested in pursuing a career in the securities industry.
    Key Topics Covered 1. Knowledge of Capital Markets
    2. Understanding Products and Their Risks
    3. Understanding Trading, Customer Accounts, and Prohibited Activities
    4. Overview of Regulatory Framework
    Preparation Resources 1. FINRA SIE Exam Study Guide
    2. Practice exams
    3. Securities Industry Essentials (SIE) Exam Online Course
    4. FINRA Official Study Materials
    Validity Period N/A (The SIE exam is a prerequisite for other qualifications, and candidates must pass additional exams to become licensed representatives.)
    Retake Policy Candidates may retake the SIE exam after a 30-day waiting period if not passed.

     

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    FINRA SIE Exam Topics Breakdown

    FINRA SIE Exam Structure and Content Breakdown

    Domain Weight (%) Topics Covered
    1. Knowledge of Capital Markets 16% - Types of markets (primary and secondary)
    - Market participants and roles
    - Economic factors affecting the market
    2. Understanding Products and Their Risks 26% - Types of securities (stocks, bonds, mutual funds, options)
    - Risks related to various financial products
    - Characteristics of debt and equity securities
    3. Understanding Trading, Customer Accounts, and Prohibited Activities 32% - Order types, executions, and settlement processes
    - Customer accounts and account types
    - Prohibited activities (e.g., insider trading, market manipulation)
    4. Overview of Regulatory Framework 26% - Role of FINRA, SEC, and other regulatory bodies
    - Registration requirements
    - Ethics, compliance, and anti-money laundering (AML) rules

    FINRA SIE General Securities Representative Practice Exam Questions and Answers

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    FINRA SIE Exam Dumps FAQs

    The FINRA Securities Industry Essentials (SIE) Exam is an entry-level exam designed by the Financial Industry Regulatory Authority (FINRA) for individuals who are interested in entering the securities industry. The exam tests foundational knowledge of the securities industry, including basic concepts related to the markets, regulations, and products.

    The SIE Exam is ideal for individuals who are:

    • Aspiring to work in the securities industry but are not yet employed by a FINRA-member firm.
    • New to the financial services industry and want to demonstrate their knowledge.
    • Students or professionals looking to pursue a career in finance, sales, trading, or any role in a securities firm.
    • Individuals seeking to fulfill the educational requirement for further securities qualification exams (e.g., the Series 6, Series 7).

    The SIE exam covers the following four main areas:

    • Knowledge of Capital Markets (16% of the exam): Includes understanding market types, market participants, primary and secondary markets, and types of offerings.
    • Understanding Products and Their Risks (26% of the exam): Covers different securities, such as stocks, bonds, mutual funds, and derivatives, as well as the risks associated with these products.
    • Understanding Trading, Customer Accounts, and Prohibited Activities (24% of the exam): Focuses on the types of orders, customer accounts, regulations regarding customer interactions, and prohibited activities like insider trading and market manipulation.
    • Overview of the Regulatory Framework (34% of the exam): Includes understanding the roles of different regulatory bodies, such as FINRA, the SEC, and other self-regulatory organizations, as well as the rules and regulations that govern the securities industry.

    The SIE Exam consists of 75 multiple-choice questions. The questions cover the core knowledge and skills necessary to understand the securities industry. The exam is computer-based and administered by FINRA.

    You have 1 hour and 45 minutes (105 minutes) to complete the SIE Exam.

    To pass the FINRA SIE Exam, you need to score 70% or higher. This means you must correctly answer at least 53 out of the 75 questions.

    There are no specific prerequisites for taking the SIE Exam. Unlike other exams, you do not need to be employed by a FINRA-member firm to take the SIE. It’s open to anyone looking to enter the securities industry.

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