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 November 10.
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 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 |
| 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
Yes. You can sign up for a demo account and check out our Training Center experience by navigating to this page: https://knopman.com/why-choose-us
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.
Yes. You can download a free SIE assessment exam here: https://knopman.com/securities-industry-essentials-sie-exam/
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: https://knopman.com/blog/2019/02/27/how-to-register-for-sie-exam/.
Vouchers to cover the cost of the SIE Exam, are provided by your firm or your training provider. If you are enrolled in an analyst or associate training program and are required to take the SIE before joining your firm reach out to our Program Management team to claim your voucher at [email protected].
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.
