FINRA SIE Practice Test Questions Answers
Exam Code: SIE
(Updated 164 Q&As with Explanation)
Exam Name: Securities Industry Essentials Exam (SIE)
Last Update: 04-May-2025
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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 |
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