SIE
FINRA SIE Exam Prep
Comprehensive practice questions and study materials from FINRA. Build confidence with adaptive learning and domain-specific analytics.
SIE
Comprehensive practice questions and study materials from FINRA. Build confidence with adaptive learning and domain-specific analytics.
Exam Domains
Master every domain to maximize your exam score
Account types, documentation requirements, and customer account handling
Bonds, notes, money market instruments, and fixed-income analysis
Economic indicators, monetary and fiscal policy, business cycles
Common and preferred stock, rights, warrants, and ADRs
Mutual funds, ETFs, closed-end funds, and UITs
Primary market, underwriting process, SEC registration
IRAs, 401(k), pension plans, and annuity contracts
Secondary market, order types, settlement, and trade execution
Suitability, fiduciary duties, and ethical practices
Calls, puts, options strategies, and options contracts
FINRA rules, SEC regulations, and compliance requirements
Pricing
All 6 exams included with every plan
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6 certifications included
FAQ
Everything you need to know before getting started.
The SIE exam has 75 multiple-choice questions. You have 1 hour and 45 minutes (105 minutes) to complete the exam. Of the 75 questions, 10 are unscored pilot questions.
You need a score of 70% to pass the SIE exam. The exam uses a scaled scoring methodology.
The SIE exam costs $80 USD. Unlike other FINRA exams, you do not need firm sponsorship to take the SIE — anyone 18 or older can register.
The SIE covers four main areas: Knowledge of Capital Markets (16%), Understanding Products and Their Risks (44%), Understanding Trading, Customer Accounts and Prohibited Activities (31%), and Overview of Regulatory Framework (9%).
No. The SIE has no prerequisites — it is open to anyone aged 18 or older, even without firm sponsorship. It is designed as the entry point for a career in the securities industry.
SIE results are valid for 4 years. If you do not associate with a FINRA member firm within 4 years of passing, you must retake the exam.
The SIE is considered the most accessible FINRA exam, but it covers a broad range of securities topics. A structured study plan covering all domains and regular practice tests are essential for first-time success.
Your $80 exam fee deserves the best preparation.
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