How We Prepare You

We provide you with the necessary online learning tools and content to prepare you to pass your FINRA exam. The first time.

  • Targeted Reading Material

    We deliver easy to read and easy to follow reading material that you need to learn in order to pass your FINRA exam. The first time. No more. No less. No fluff.

  • Simulated Exams

    We offer targeted chapter quizzes and simulated exams to test your knowledge to be sure that you are prepared and confident. Take unlimited practice exams!

  • Flashcards & Downloads

    We provide you with online flashcards, printable downloads, such as chapter & course notes, FINRA information for your SIE Exam, and study & exam tips.

What is the SIE?

The Securities Industry Essentials Exam is a FINRA exam for potential securities and investment professionals. This introductory exam evaluates a candidate’s knowledge of basic securities industry knowledge including concepts fundamental to working in the industry.

Passing the SIE doesn’t qualify a person for registration with a firm or to participate in securities business. In order to become registered to engage in securities business, an individual must pass the SIE and then a top-off exam.



FINRA SIE Exam Outline

Knowledge of Capital Markets | 12 Questions

Understanding Products and Their Risks | 33 Questions

Understanding Trading, Customer Accounts and Prohibited Activities | 23 Questions

Overview of Regulatory Framework | 7 Questions

Total Number of Questions | 75



Course Outline and Curriculum

  • 1

    Course Preview

    • What To Expect

    • Securities Industry Essentials (SIE) Introduction
  • 2

    Products and Their Risks

    • Page 1

    • Page 2

    • Page 3

    • Page 4

    • Page 5

    • Page 6

    • Page 7

    • Page 8

    • Page 9

    • Page 10

    • Page 11

    • Page 12

    • Page 13

    • Page 14

    • Page 15

    • Flashcards: Products and Their Risks

    • Quiz: Products and Their Risks

    • Chapter Notes
  • 3

    Debt Securities & Investment Companies

    • Page 1

    • Page 2

    • Page 3

    • Page 4

    • Page 5

    • Page 6

    • Page 7

    • Page 8

    • Page 9

    • Page 10

    • Page 11

    • Page 12

    • Flashcards: Debt Securities & Investment Companies

    • Quiz: Debt Securities & Investment Companies

    • Chapter Notes
  • 4

    Knowledge of Markets

    • Page 1

    • Page 2

    • Page 3

    • Page 4

    • Page 5

    • Page 6

    • Page 7

    • Page 8

    • Page 9

    • Page 10

    • Flashcards: Knowledge of Markets

    • Quiz: Knowledge of Markets

    • Chapter Notes
  • 5

    Options and Risk

    • Page 1

    • Page 2

    • Page 3

    • Page 4

    • Page 5

    • Page 6

    • Page 7

    • Page 8

    • Page 9

    • Page 10

    • Page 11

    • Page 12

    • Flashcards: Options and Risk

    • Quiz: Options and Risk

    • Chapter Notes
  • 6

    Accounts and Trading

    • Page 1

    • Page 2

    • Page 3

    • Page 4

    • Page 5

    • Page 6

    • Page 7

    • Page 8

    • Page 9

    • Page 10

    • Page 11

    • Page 12

    • Page 13

    • Flashcards: Accounts and Trading

    • Quiz: Accounts and Trading

    • Chapter Notes
  • 7

    Rules and Prohibited Activities

    • Page 1

    • Page 2

    • Page 3

    • Page 4

    • Page 5

    • Page 6

    • Page 7

    • Page 8

    • Page 9

    • Flashcards: Rules and Prohibited Activities

    • Quiz: Rules and Prohibited Activities

    • Chapter Notes
  • 8

    Regulatory Framework

    • Page 1

    • Page 2

    • Page 3

    • Page 4

    • Page 5

    • Page 6

    • Page 7

    • Page 8

    • Flashcards: Regulatory Framework

    • Quiz: Regulatory Framework

    • Chapter Notes
  • 9

    Final Course Exam

    • Final Course Exam Introduction

    • Final Course Exam: This Exam Requires A Passing Score of 70%
  • 10

    Resources

    • Downloads & Information

Additional Information