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The Securities Industry Essentials SIE exam assesses a candidate’s fundamental knowledge of the securities industry. The exam focuses on industry terminology, securities products, the structure and function of the markets, regulatory agencies and their functions, and regulated and prohibited practices. The SIE is open to anyone 18 years or older, including students and potential employees who want to show potential employers that they have a foundational understanding of the sector.
Moreover, the can be taken without being affiliated with a company, and the results are valid for four years. Individuals must pass the SIE and a qualification exam relevant to the business they will be conducting to register to engage in the securities business. The person must be connected to a member firm to take a qualifying exam.
The Finra SIE exam consists of 75 multiple choice questions with 1 hour and 45 minutes time duration. Moreover, the security industry essentials exam costs $80 and you need to score 70% to pass the exam.
The Securities Industry Essentials (SIE) Exam Content Outline offers a detailed overview of the breadth of subjects covered on the exam and the level of expertise needed. There are four sections in the outline. The distribution of exam questions for each section is shown in the table below.
| Sections | Percentage of Exam Questions | Number of Exam Questions |
| (1) Knowledge of Capital Markets | 16% | 12 |
| (2) Understanding Products and Their Risks | 44% | 33 |
| (3) Understanding Trading, Customer Accounts, and Prohibited Activities | 31% | 23 |
| (4) Overview of Regulatory Framework | 9% | 7 |
| TOTAL | 100% | 75 |
The SIE is a challenging exam, despite being regarded as an introduction to the financial sector. Most testers succeed on the first try, but some could need two. Our course will help you to pass the SIE exam with great success.
