FINRA SIE Exam Prep & Study Materials
The SIE exam is required by FINRA for all individuals entering the securities industry and is the first step to becoming fully registered to conduct securities business.
Our Current Pass Rate is 97%
- Textbook (Physical & Electronic Versions)
- Online & Printable Practice Exams
- 17 hrs of video lectures (14 Lessons)
- 12 hrs of essential content
- 3 hrs of advanced content
- 2 hrs of Q&A Reviews
- 1,100+ Digital Flashcards
- Mobile App for offline training (iPhone & iPad)
- Personal Instructor Access
- Downloadable Class Supplements
- 4 Diagnostic Exams
- 1 Assessment Exam
- 2 Diagnostic Exams
- 1 Final Benchmark Exam
About the Exam
This introductory-level exam tests common securities industry knowledge including
- Knowledge of Capital Markets
- Understanding Products and Their Risks
- Understanding Trading, Customer Accounts and Prohibited Activities
- Overview of Regulatory Framework
|Number of Questions||75 graded multiple-choice + 10 experimental ungraded questions|
|Time to Complete||1 hour and 45 minutes|
|Recommended Study Time||40-60 hours|
SIE Course Curriculum
|Lesson 2||Debt Securities|
|Lesson 3||Types of Bonds|
|Lesson 4||Investment Companies|
|Lesson 5||Other Managed Products|
|Lesson 8||Issuing Securities|
|Lesson 9||Secondary Market|
|Lesson 10||Economics and Monetary Policy|
|Lesson 11||Customer Accounts|
|Lesson 12||Tax-Advantaged Accounts and Products|
|Lesson 13||FINRA Registration|
|Lesson 14||Business Conduct Rules|
SIE Exam Content Outline
Learn More about the SIE Exam
"The notes and the online class sessions are very well done and were most useful of all the materials. I particularly liked how the lectures and class notes walked through practice questions that simulate testable material. The focus of those sections and the exercises were spot on."
"The course was amazing at preparing me for what was in the exam. I don’t think there was a single question that referenced information I was unfamiliar with. Thank you for all your support!"
"Just got out of test and I PASSED! I felt 100x more prepared for the test than last time when I took it with different materials. Yet I still had no idea that I would pass when I hit the final submit button. Questions were extremely challenging."
"I passed...thanks to your firm's fine coursework. I must say, even though i've been in Investment Banking / Private Equity for 20+ years, I probably would not have passed if it wasn't for your firm's materials.
Thank you for the excellent work product your team puts out.
I'm a fan, and happy to be a business reference for you guys."
"I hadn’t studied for an exam in 25 years and I think my brain needed to remember what to do! Using your course and materials, I passed the SIE this morning ☺️. So thank you!"
Once you enroll in our course you will automatically be assigned to a Knopman Marks instructor who will coach you to success. Your instructor will reach out via email one week after you sign up. Your instructor is available to discuss your overall study strategy and answer content questions along the way. He or she will proactively reach out to you as you continue your prep for the SIE Exam. In addition to this person, you will have access to our entire team of instructors for questions.
Our SIE course is engaging, our resources are comprehensive, and you will be supported by a team of experts whose mission is to help you succeed. Our SIE pass rate is currently 97% for the SIE Exam because we give you every tool you need from start to finish, so you can study once and study right.
Add Live Training to your course and you will immediately have access to enroll in any of our SIE courses through your Training Center. Once you have Live Training access you can enroll in as many courses as you want and can attend in person or remotely.
All our public SIE classes are held in New York City. However, we stream most of our classes online so you can attend remotely from anywhere. We also hold private SIE courses globally upon request.
To register for the SIE Exam, you can enroll directly on the FINRA website and then schedule your test at a Prometric Testing Center. Prometric offers the exam at locations worldwide. Firm sponsorship is not required to take this examination, but you must be 18 years old. For more details follow our step-by-step guidance here: .
The SIE course consists of 17 hours of video training. Each lesson has multiple videos that range from 10-15 mins in length. The content is broken into 3 categories throughout: Essential, Advanced, and Q&A Reviews.
You have access to our SIE course until you pass your exam, or for up to one year.
Sure. You can download our mobile app for iPhones and iPads to access all of our SIE video lectures offline. Download the content when you are on Wi-Fi and you will be ready to study on the go.