Classes you can count on,
instructors you can trust
This course has live training available.
Take as many in-person or
virtual classes as you need throughout your training. The next class begins
on April 23.
Classes you can count on,
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 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
- 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 |
| 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
"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!"
"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.
