Securities Industry Essentials Exam Guide
The Securities Industry Essentials (SIE) Exam (first made available beginning October 1, 2018) is a brand new entry-level FINRA exam for hopeful securities professionals. The exam gauges 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 85 items on the exam (75 scored and 10 unscored, pre-test items) presented in a multiple-choice format. Candidates have 1 hour and 45 minutes to complete the exam. A passing score is 70%.
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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