For this part of the exam, you will want to know about investment risks and products. Products and Their Related Risks: The second section of the exam consists of 33 multiple-choice questions.Capital markets knowledge: This section of the exam has 12 questions pertaining to market structure, economic factors, offerings, and regulatory agencies.The SIE test is an introductory-level exam that covers four sections. This is especially true since individuals do not have to be involved in a FINRA member firm to take the test. The SIE combines all of the essential financial information related to corporate and government entities into a single, albeit challenging, test.Īlthough passing the SIE does not guarantee immediate success, it does open the door to more opportunities. Part of the reason for the Securities Industries Essentials exam is to avoid repetitive information on different tests. One of the main benefits of the SIE exam is that it replaces sections of previous financial tests. Changes in Securities Industries Essentials Exam (SIE) Qualifications
The following study guide lays out the basic securities industry information you need to know for the SIE exam. Although this exam covers in-depth knowledge of the financial services industry, it is not impossible to pass. The Securities Industry Essentials (SIE) exam covers a wide array of financial topics.
FINRA Securities Industry Essentials (SIE) Exam Tips
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