Securities Industry Essentials Exam Guide
The Securities Industry Essentials (SIE) Exam, which will be available beginning October 1, 2018, is a brand new entry-level FINRA exam for hopeful securities professionals. The exam will gauge a candidate’s knowledge of introductory-level securities industry information required to successfully navigate the securities industry. Topics include the types of products and their risks, the structure of the securities industry markets, regulatory agencies and functions, and prohibited practices.
There are 75 items on the exam presented in a multiple-choice format. Candidates have 105 minutes to complete the exam. The passing score and proposed cost of the exam are still being finalized, though early publications hint that the exam will cost around $60.
The SIE Exam Content Outline is comprised of four sections:
– Knowledge of Capital Markets (16%)
– Understanding Products and Their Risks (44%)
– Understanding Trading, Customer Accounts and Prohibited Activities (31%)
– Overview of Regulatory Framework (9%)
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- Inflation on consumer goods
- The present value of money
- Future risk
- Economic growth
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