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SIE
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Exam Code: SIE

Exam Name: Securities Industry Essentials Exam (SIE)

Updated: Oct 01, 2026

Number: 412 Q&As with Testing Engine

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FINRA SIE Exam Overview:

Certification Vendor:FINRA
Exam Name:Securities Industry Essentials (SIE) Exam
Exam Number:SIE
Passing Score:70%
Certificate Validity Period:4 years
Exam Duration:105 minutes
Related Certifications:FINRA Series 79
FINRA Series 6
FINRA Series 7
Exam Price:$80 USD
Available Languages:English
Exam Format:Computer-based exam, Multiple-choice
Real Exam Qty:75 scored multiple-choice questions
Recommended Training:FINRA SIE Exam Content Outline
FINRA Securities Industry Essentials Exam Overview
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:

TopicDetails
Topic 1
  • 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 2
  • 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 3
  • 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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