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

SIE
  • Exam Code: SIE
  • Exam Name: Securities Industry Essentials Exam (SIE)
  • Updated: Jul 11, 2025
  • Q & A: 166 Questions and Answers
  • PDF Version

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  • PDF Price: $59.98
  • FINRA SIE Value Pack

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  • PDF Version + PC Test Engine + Online Test Engine (free)
  • Value Pack Total: $79.98

About FINRA SIE: Securities Industry Essentials Exam (SIE)

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Under the situation of economic globalization, it is no denying that the competition among all kinds of industries have become increasingly intensified (SIE exam simulation: Securities Industry Essentials Exam (SIE)), especially the IT industry, there are more and more IT workers all over the world, and the professional knowledge of IT industry is changing with each passing day. Under the circumstances, it is really necessary for you to take part in the FINRA SIE exam and try your best to get the IT certification, but there are only a few study materials for the IT exam, which makes the exam much harder for IT workers. Now, here comes the good news for you. Our company has committed to compile the SIE study guide materials for IT workers during the 10 years, and we have achieved a lot, we are happy to share our fruits with you in here.

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FINRA SIE Exam Syllabus Topics:

TopicDetails
Topic 1
  • Market Structure: This section of the exam measures the skills of Equity Market Specialists and covers the classification of financial markets, including the primary, secondary, third, and fourth markets. Candidates must demonstrate knowledge of electronic trading, over-the-counter (OTC) markets, and physical exchanges. One specific skill tested is differentiating between various market types and their operational mechanisms.
Topic 2
  • Regulatory Entities, Agencies, and Market Participants: This section of the exam measures the skills of Financial Regulatory Analysts and covers the structure, authority, and jurisdiction of key regulatory bodies overseeing financial markets. The SEC's role in enforcing securities regulations is assessed, along with the authority of self-regulatory organizations such as FINRA and MSRB. Candidates must also understand the functions of other financial regulators, including the Department of the Treasury and state regulatory agencies. One key skill evaluated is identifying the jurisdictional scope of different financial regulators.
Topic 3
  • 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 4
  • 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.
Topic 5
  • 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.

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

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