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SIE: Securities Industry Essentials Exam

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instructors you can trust

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%

Course Includes

  • 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

  1. Knowledge of Capital Markets
  2. Understanding Products and Their Risks
  3. Understanding Trading, Customer Accounts and Prohibited Activities
  4. Overview of Regulatory Framework
Number of Questions 75 graded multiple-choice 
+ 10 experimental ungraded questions
Prerequisites N/A
Time to Complete 1 hour and 45 minutes
Passing Score 70%
Recommended Study Time 40-60 hours

SIE Course Curriculum

Lesson 1 Equities
Lesson 2 Debt Securities
Lesson 3 Types of Bonds
Lesson 4 Investment Companies
Lesson 5 Other Managed Products
Lesson 6 Options
Lesson 7 Suitability
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

https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf

Learn More about the SIE Exam

Visit our SIE page here for further details.

Read our step-by-step guidance on how to prepare.

Testimonials

"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."

John

"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!"

 

Christian

"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."

Bob

"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."

Vic

"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!"

Christine
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