FINRA SIE Exam Details & Actual Exam Questions

  • Exam Code/Number: SIE
  • Exam Name/Title: Securities Industry Essentials Exam (SIE)
  • Certification Provider: FINRA
  • Corresponding Certification: General Securities Representative
  • Exam Questions: 412
  • Updated On: Oct,15 2026
  • Certification Level: Entry-level

FINRA Securities Industry Essentials Exam (SIE) Exam Questions

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FINRA SIE Exam Overview:

Certification Vendor:FINRA
Exam Name:Securities Industry Essentials (SIE) Exam
Exam Number:SIE
Passing Score:70%
Exam Price:$80 USD
Exam Duration:105 minutes
Related Certifications:FINRA Series 7
FINRA Series 79
FINRA Series 6
Exam Format:Multiple-choice, Computer-based exam
Real Exam Qty:75 scored multiple-choice questions
Available Languages:English
Certificate Validity Period:4 years
Recommended Training:FINRA Securities Industry Essentials Exam Overview
FINRA SIE Exam Content Outline
Exam Registration:FINRA Exam Registration Overview
FINRA SIE Exam Official Page
Sample Questions:FINRA SIE Sample Questions
Exam Way:Computer-based exam delivered at authorized testing centers (Prometric).
Pre Condition:No formal prerequisites required. Recommended for individuals entering the U.S. securities industry.
Official Syllabus URL:https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam

FINRA SIE Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Understanding Products and Their Risks44%- Investment vehicles
  • 1. Mutual funds and ETFs
    • 2. Options and packaged products overview
      - Equity and debt securities
      • 1. Bonds and fixed income products
        • 2. Common and preferred stock
          - Risk concepts
          • 1. Investment suitability and risk tolerance
            • 2. Systematic and unsystematic risk
              Topic 2: Trading, Customer Accounts, and Prohibited Activities31%- Regulated and prohibited conduct
              • 1. Fraud and manipulation prevention
                • 2. Insider trading rules
                  - Customer accounts
                  • 1. Suitability and documentation
                    • 2. Account types and registration requirements
                      - Order types and execution
                      • 1. Market and limit orders
                        • 2. Trade settlement process
                          Topic 3: Knowledge of Capital Markets16%- Economic factors
                          • 1. Monetary policy and economic indicators
                            • 2. Market cycles and risk factors
                              - Types and structure of markets
                              • 1. Market participants and roles
                                • 2. Primary vs secondary markets
                                  Topic 4: Regulatory Framework9%- Securities regulation
                                  • 1. FINRA role and structure
                                    • 2. SEC oversight and enforcement
                                      - Ethics and compliance
                                      • 1. Compliance obligations
                                        • 2. Code of ethics standards


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