SIE - Securities Industry Essentials Exam

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The Securities Industry Essentials (SIE) Exam Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four sections.

Overall Questions: 150
Exam Questions: 75
Passing Grade: 70%
Overall Rating: 5.0 (1)
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Use this to simulate the real exam format and setting. It removes the ability to pause, get hints, or view answers. The more you practice in this mode, the more prepared you'll be for the real thing.

The table below lists the allocation of exam questions for each main job function.
  • #
  • Unit 1
  • Unit 2
  • Unit 3
  • Unit 4
  • Total
Job Functions
Job Functions
Unit 1
Knowledge of Capital Markets
Unit 2
Understanding Products and Their Risks
Unit 3
Understanding Trading, Customer Accounts and Prohibited Activities
Unit 4
Overview of Regulatory Framework
Percentage of Exam Questions
Percentage of Exam Questions
Unit 1
16%
Unit 2
44%
Unit 3
31%
Unit 4
9%
100%
Total Percentage of Exam Questions
Number of Questions
Number of Questions
Unit 1
12
Unit 2
33
Unit 3
23
Unit 4
7
75
Total Number of Questions

Pricing

Basic

Part of the questions for each course

  • Course
    Questions
  • SIE
    20 of 150
  • Series 6
    30 of 500
  • Series 7
    50 of 625

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    Questions
  • SIE
    All
  • Series 6
    All
  • Series 7
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Premium

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  • SIE
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  • Series 6
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  • Series 7
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