Latest SIE Questions Answers

SIE Securities Industry Essentials Certification Guide

The Securities Industry Essentials exam is administered by the Financial Industry Regulatory Authority (FINRA). The SIE exam tests an introductory-level individual’s knowledge and understanding of working as a Securities Industry representative. The FINRA SIE exam filters the suitable candidates by testing their possessive knowledge and skills required to perform as a critical figure by working to assess the types of products and their risks, securities industry market structures, responsibilities of regulatory agencies, and restricted activities. Hopeful candidates must pass a qualification exam along with the SIE Test to get registered as a FINRA member to be involved in the securities business. 

About the SIE Exam

The SIE has a total of 75 questions to answer having a multiple-choice format. The time duration for the Securities Industry Essentials exam is 1 hour and 45 minutes. The passing score is 70 and there are no prerequisites to take this exam; however, a candidate must be 18 years or older, and association with FINRA is also not needed. This exam is valid for up to four years. The exam cost is $80 (USD) per attempt. The exam outline is mentioned below with the number of items mentioned to appear:

• 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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