FINRA SIE — Securities

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Free practice for the FINRA SIE (Securities Industry Essentials) exam — the entry-level securities exam that needs no firm sponsor. Original questions in English, 中文 and Español, covering the official content outline.

The SIE is 75 scored questions (85 total), 105 minutes, and about 70% to pass. No employer sponsor is required — you take it on your own, then a firm sponsors you for the Series 6 or 7 top-off once hired.

What the SIE exam covers

44%
Products & Their Risks
equity · debt · funds/ETFs · options · municipals · annuities · risk types
31%
Trading, Accounts & Prohibited Acts
orders · settlement · account types · AML · insider trading · manipulation
16%
Capital Markets
primary/secondary · underwriting · SEC/FINRA/Fed · economic factors
9%
Regulatory Framework
SROs · registration (U4/U5) · SIE vs Series 6/7 · CE · conduct rules
Study guide →Browse all questions →

Helpful resources

Register & schedule — FINRA SIE (official) →

Frequently asked questions

Is PrepPass's FINRA SIE — Securities Industry Essentials practice free?

Yes — every FINRA SIE — Securities Industry Essentials practice question, study guide, and lesson on PrepPass is free. A full timed mock exam is also included at no cost.

How many FINRA SIE — Securities Industry Essentials practice questions does PrepPass have?

PrepPass currently has 470 original FINRA SIE — Securities Industry Essentials practice questions across 4 topic areas, and every question comes with a written answer explanation.

What languages is PrepPass's FINRA SIE — Securities Industry Essentials prep available in?

English, 中文 (Chinese), Español (Spanish), and Tiếng Việt (Vietnamese).

How are PrepPass's FINRA SIE — Securities Industry Essentials questions written?

They are original questions written by PrepPass from public-domain statutes and official exam blueprints — never copied from the real exam. Read our question methodology →

Is PrepPass affiliated with the licensing board or exam provider?

No. PrepPass is an independent study resource and is not affiliated with, endorsed by, or connected to any licensing board or official exam provider.

Can I practice FINRA SIE — Securities Industry Essentials on my phone?

Yes — PrepPass runs in any mobile or desktop web browser, with no app to download.

Own the complete FINRA SIE (Securities Industry Essentials) guide — PDF + EPUB, $14.99 →

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