United States
Hong KongFINRA SIE exam guide
The SIE covers securities products, capital markets, customer accounts, prohibited practices, and regulation.
Overview
- Questions
- 80
80 administered: 75 scored and five unscored pretest questions
- Time
- 1 hour 45 minutes
Exam time
- Format
- Multiple choice
Computer-based
- Pass mark
- 70
FINRA reports the official passing score as 70 on an equated scale; it is not an announced raw percentage or number of correct questions.
4 syllabus topicsOpen the published blueprint
| Topic | Syllabus headings | Questions on the paper |
|---|---|---|
| 1. Knowledge of Capital Markets | 0 | 12 |
| 2. Understanding Products and Their Risks | 0 | 33 |
| 3. Understanding Trading, Customer Accounts and Prohibited Activities | 0 | 23 |
| 4. Overview of the Regulatory Framework | 0 | 7 |
Guide topics
Exam overview
Eligibility, enrollment, cost, exam format, and results.
6 articlesExam difficulty
Study time, difficulty, and readiness.
1 articleExam topics
The four tested sections and focused securities concepts.
2 articlesStudy plans
Practical preparation and revision schedules.
2 articlesPractice tips
Original practice questions and worked explanations.
2 articlesCareers and pay
Roles, qualifications and career considerations.
1 articleComparisons
Relevant exams and preparation options.
1 article