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FINRA Securities Industry Essentials Exam (SIE) : SIE

Exam Code: SIE

Exam Name: Securities Industry Essentials Exam (SIE)

Updated: Sep 11, 2026

Number: 412 Q&As with Testing Engine

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FINRA SIE Exam Syllabus Topics:
TopicDetails
Topic 1
  • 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.
Topic 2
  • 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 3
  • Employee Conduct and Reportable Events: This section of the exam measures the skills of Financial Compliance Specialists and covers regulatory expectations regarding employee conduct and disclosure requirements. Candidates must be familiar with Form U4 and Form U5, as well as reporting obligations for outside business activities and political contributions.

Reference: https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam

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SIE Related Exams
Series-7 - General Securities Representative Qualification Examination (GS)
Related Certifications
General Securities Representative
FINRA Certification
Uniform Securities State Law
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