FINRA SIE — Securities
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. First-time pass rate is roughly 74%.
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🎯 Full timed mock exam
A 75-question, 105-minute simulation to test your readiness.
What the SIE exam covers
44%
Sản phẩm & Rủi ro
equity · debt · funds/ETFs · options · municipals · annuities · risk types
31%
Giao dịch, Tài khoản & Hành vi cấm
orders · settlement · account types · AML · insider trading · manipulation
16%
Thị trường vốn
primary/secondary · underwriting · SEC/FINRA/Fed · economic factors
9%
Khung pháp lý
SROs · registration (U4/U5) · SIE vs Series 6/7 · CE · conduct rules