Exam topics

The four tested sections and focused securities concepts.

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FINRA SIE content outline and topic weightsFINRA divides the SIE into four sections: capital markets (16%), products and risks (44%), trading, customer accounts and prohibited activities (31%),…
FINRA SIE market structure practiceThe SIE market-structure material asks how investors, broker-dealers, exchanges, market makers, and clearing systems interact. Understand primary vers…