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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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

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