FINRA® Securities Industry Essentials SIE Exam

SIE Exam

Securities Industry Essentials (SIE) Exam Prep

To pass your SIE qualification exam, ExamFX has created a comprehensive online training program to ensure that you are prepared to pass your exam on first attempt. We have a variety of study packages available to you, designed to meet your specific needs.

 

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Securities Industry Essentials Package Comparison

To pass your SIE licensing exam, ExamFX has created a comprehensive online training program to ensure that you are completely prepared on test day. Our training program features multiple study tools to ensure you pass your exam on first attempt. We have a variety of study packages available to you, designed to meet your specific needs.

OUR GUARANTEE

We guarantee you will pass your licensing exam on the first attempt. If you do not pass the licensing exam after scoring an 80% on the Guarantee Exam, we will refund the cost of the material. Licensing exam must be taken within 3 days after passing the Guarantee Exam. A copy of the licensing exam results and access code must be provided.

PACKAGE COMPARISON

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90 Days Course Access
Interactive Learning Portal
Online Exam Simulations
Readiness Exam
Guarantee Exam
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OnDemand Video Lectures
Online Flashcards
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What_Is_Icon

What is the Securities Industry Essentials (SIE) exam and what will it do?

The SIE exam assesses a candidate's basic knowledge of the securities industry. Starting October 1, 2018, FINRA requires that all candidates must pass both the SIE exam and a representative (Rep Level) Top-Off exam. The SIE exam focuses on industry terminology, securities products, the structure and function of the markets, regulatory agencies and their function, and regulated and prohibitive practices. To view a complete, detailed test outline, please follow the link to the FINRA website and SIE exam outline.
VIEW THE FINRA SIE EXAM CONTENT OUTLINE

FINRA SIE Exam Details

The SIE exam consists of 75 multiple-choice questions and is a total duration of 1 hour and 45 minutes. The minimum passing score is TBD

About the Securities Industry Essentials Exam

What are the topics covered on the SIE exam?

The SIE exam, which is an introductory level exam, consisting of 75 questions and is broken down into four parts. These topics include: 

See below for more detailed breakdown or visit the FINRA link above.


Regulatory Entities, Agencies and Market Participants

Understanding Products and Their Risks

Understanding Trading, Customer Accounts and Prohibited Activities

Overview of Regulatory Framework

I need help deciding which SIE products are right for me

The new SIE exam introduction can be confusing, so we have tried to make it easier for you to find the right training solutions. Click the scenario that applies to you below.


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What is the ExamFX Guarantee Exam?

As a first in the prelicensing industry, we stand by our mission to provide students with quality learning tools and instruction. We guarantee each student will pass his or her exam on the first attempt. If a student fails the state exam within three days after scoring 80% on the Guarantee Exam, we will refund the cost of the material. It is that simple.

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