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FINRA SIE : Securities Industry Essentials Exam (SIE)
Exam Code: SIE
Exam Name: Securities Industry Essentials Exam (SIE)
Updated: Oct 22, 2026
Q & A: 412 Questions and Answers
SIE Free Demo download
In 2026, trying the demo takes minutes: open the FINRA Securities Industry Essentials Exam (SIE) page, enter your email, and download the free PDF sample. It is the easiest way to see whether the 412 practice questions on PassTorrent match how you study.
FINRA SIE Exam Overview:
| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | Securities Industry Essentials Exam |
| Exam Number: | SIE |
| Exam Price: | $100 USD |
| Certificate Validity Period: | 4 years |
| Available Languages: | English |
| Exam Duration: | 105 minutes |
| Passing Score: | 70% |
| Real Exam Qty: | 75 scored + 5 unscored pre-test |
| Related Certifications: | Series 57 Series 6 Series 22 Series 82 Series 79 Series 7 Series 86/87 |
| Exam Format: | Multiple Choice |
| Recommended Training: | FINRA SIE Content Outline & Study Materials |
| Exam Registration: | Prometric Testing FINRA Official Registration |
| Sample Questions: |  |
| Exam Way: | Computer-based; available in-person at Prometric test centers or online remote proctoring |
| Pre Condition: | Minimum age 18; no firm sponsorship or prior employment required; open to all individuals |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam |
FINRA SIE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Understanding Trading, Customer Accounts and Prohibited Activities | 31% | - Trading, Settlement and Corporate Actions - Customer Accounts and Compliance - Prohibited Activities |
| Topic 2: Overview of Regulatory Framework | 9% | - Federal Securities Laws - Registration and Conduct Rules - SRO Rules and Requirements |
| Topic 3: Knowledge of Capital Markets | 16% | - Market Structure - Entities, Agencies and Market Participants - Offerings - Economic Factors |
| Topic 4: Understanding Products and Their Risks | 44% | - Alternative Investments - Municipal Securities - Equity Securities - Risk Characteristics - Debt Securities - Options - Packaged Products |
What to Know Before Buying FINRA Securities Industry Essentials Exam (SIE)
FINRA Official Registration: register for SIE
Prometric Testing: register for SIE
Minimum age 18; no firm sponsorship or prior employment required; open to all individuals
- Overview of Regulatory Framework (9%)
- Understanding Trading, Customer Accounts and Prohibited Activities (31%)
- Knowledge of Capital Markets (16%)
Allocate study time in proportion to each topic's weight.
The SIE exam has 75 scored + 5 unscored pre-test questions with a 105 minutes-minute time limit. Practicing under the same constraints on PassTorrent builds the pacing habits you will need on test day.
The PC engine installs on your computer and simulates the real exam scenario with timed tests and performance marking. The online engine runs in your browser, needs no installation, works on most devices, and is often the more stable option when you switch machines frequently.
FINRA SIE Content Outline & Study Materials: Visit official page
A passing result on SIE requires 70%, and the official exam fee is $100 USD. Knowing both numbers upfront helps you budget your study time and money realistically.
The package includes 412 practice questions for the SIE exam, covering the current FINRA Securities Industry Essentials Exam (SIE) objectives with verified answers.
We support Credit Card payment because it is built around buyer protection: if a purchase issue ever arises, the card network's dispute process protects your money. Combined with our refund policy, that keeps your FINRA Securities Industry Essentials Exam (SIE) purchase low-risk.
FINRA Securities Industry Essentials Exam (SIE) Sample Questions:
Question #1
Which of the following actions typically changes the cost basis of a mutual fund position that a customer holds?
- A. Reinvested dividends received from the mutual fund to purchase more shares
- B. The appointment of a new portfolio manager to oversee the mutual fund
- C. Transferring the mutual fund position via ACATS to another firm
- D. Upward movement in the net asset value (NAV) of the mutual fund
Correct Answer: A 🗳️
Explanation: Only visible for PassTorrent members. You can sign-up / login (it's free).
Question #2
The civil penalty for an individual who is convicted of an insider trading violation is permitted to be an amount up to how many times the profit gained or loss avoided?
- A. 1 time
- B. 6 times
- C. 3 times
- D. 10 times
Correct Answer: C 🗳️
Explanation: Only visible for PassTorrent members. You can sign-up / login (it's free).
Question #3
An investor purchases a Sep 30 XYZ call for a premium of 5. What will the investor pay for this option?
- A. $500
- B. $30
- C. $5
- D. $3,000
Correct Answer: A 🗳️
Explanation: Only visible for PassTorrent members. You can sign-up / login (it's free).
Question #4
Which of the following types of investment companies raise money by issuing a fixed number of shares through an initial public offering (IPO), actively manage their portfolios and trade their shares on a stock exchange?
- A. Closed-end funds
- B. Open-end funds
- C. Unit investment trusts (UITs)
- D. Variable annuities
Correct Answer: A 🗳️
Explanation: Only visible for PassTorrent members. You can sign-up / login (it's free).
Question #5
A customer will be out of the country for the next two months on business and asks his firm to hold his mail until he returns. Which of the following statements is true regarding this request?
- A. The firm must receive written instructions from the customer that include the time period for the requested mail hold.
- B. At the discretion of the RR, the firm is permitted to hold the customer ' s mail provided it takes reasonable actions to ensure no tampering occurs with this mail.
- C. The firm is prohibited from holding the customer ' s mail under FINRA rules due to the personal information contained.
- D. The firm is permitted to hold the mail as long as the registered representative (RR) complies with the customer ' s oral instructions.
Correct Answer: A 🗳️
Explanation: Only visible for PassTorrent members. You can sign-up / login (it's free).
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