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SIE: Securities Industry Essentials Exam

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.

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 Support
  • 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 TBD
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 futher details.