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FINRA SIE real answers - Securities Industry Essentials Exam (SIE)

SIE
  • Exam Code: SIE
  • Exam Name: Securities Industry Essentials Exam (SIE)
  • Updated: Jul 11, 2025
  • Q & A: 166 Questions and Answers
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  • PDF Price: $59.98
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FINRA SIE Exam Syllabus Topics:

TopicDetails
Topic 1
  • Overview of the Regulatory Framework: This section of the exam measures the skills of Compliance Officers and evaluates knowledge of self-regulatory organization (SRO) requirements, including registration and continuing education for associated persons. Candidates must understand the distinction between registered and non-registered individuals and the requirements for maintaining industry qualifications.
Topic 2
  • Understanding Trading, Customer Accounts, and Prohibited Activities: This section of the exam measures the skills of Securities Traders and focuses on different trading strategies, settlement processes, and corporate actions. Candidates must demonstrate knowledge of order types, including market, limit, stop, and good-til-canceled orders, as well as bid-ask spreads and discretionary versus non-discretionary trading.
Topic 3
  • Understanding Products and Their Risks: This section of the exam measures the skills of Investment Analysts and examines different financial products and associated risks. Candidates must understand equity securities, including common stock, as well as debt instruments such as Treasury securities and mortgage-backed securities.

Reference: https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam

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