FINRA SIE · Securities Industry Essentials300 questions
Practice likethe real SIE.Pass first try.
75-question mock exams weighted exactly like the SIE — 44% Products and Their Risks — with every answer explained, every calculation shown, and every source cited. On your phone, between classes or shifts.
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The real exam, weighted like FINRA does it
- Products & Risks44%≈ 33 q.
- Trading & Accounts31%≈ 23 q.
- Capital Markets16%≈ 12 q.
- Regulatory Framework9%≈ 7 q.
- 70%
- to pass
- 4
- choices
- 1 h 45
- time limit
- 300 sourced questions
- 4 sections of the SIE outline
- 90 calculation questions, worked step by step
- Rules checked October 27, 2026
Built for the exam as it really is.
Not a generic quiz: FINRA's section weighting, its timing, its 4-choice format and the rules in force today.
Weighted like the real exam
Nearly half the SIE is Products and Their Risks. Our mock exams draw each section in the same proportion as FINRA's content outline, so your practice score means something.
- Products & Risks44% ≈ 33 q.
- Trading & Accounts31% ≈ 23 q.
- Capital Markets16% ≈ 12 q.
- Regulatory Framework9% ≈ 7 q.
300 questions, every one sourced
Each answer cites the rule and links to its source: the SIE content outline, SEC statutes, FINRA and MSRB rules, Regulation T.
Mock exams in real conditions
75 questions, 1 hour 45 minutes on the clock, 70% to pass, answers revealed only at the end — like exam day at the Prometric center.
Calculations shown step by step
Current yield, options breakeven, sales charges, margin: every calculation question shows its full working under the explanation, so you learn the method and not just the answer.
Readiness by section
Your dashboard shows your score in each section and the exact topics to review next.
Three steps to exam day.
Try 20 free questions
No account, no card. Answer SIE-style questions drawn from all four sections and read why each answer is right, with the rule behind it.
Practice by section
Work Capital Markets, Products & Risks, Trading & Accounts and the Regulatory Framework one by one. Filter by topic and difficulty; your weak spots surface on their own.
Take mock exams until you hit 85%+
75 questions, 1 hour 45 minutes, 70% to pass, drawn with FINRA's section weighting. Three scores of 85% or better and you're covered by the pass guarantee.
Try one now.
A question from the bank, exactly as it appears in the app. Answer it, read the rule, then keep going with the 20 free questions.
This one doesn't count toward your free trial.
1. Knowledge of Capital Markets — 1.3.1 The Federal Reserve Board
Which of the following is an example of fiscal policy?
Tap an answer: the explanation and the source show up right away. See 19 more answered questions
The SIE exam, explained.
Format, who can take it, what it costs and what happens after — checked on finra.org on October 29, 2026.
- Scored questions
- 75
- + 10 unscored pretest questions (85 on screen)
- Time limit
- 1 h 45
- 105 minutes, 4 answer choices per question
- Passing score
- 70
- Scaled score; roughly 70% of scored questions
- Enrollment fee
- $100
- Paid to FINRA per attempt, as listed on October 29, 2026
- Who can take it
- 18+
- No sponsoring firm required: enroll on your own or through your broker-dealer
- Result valid
- 4 years
- Time to join a firm and take a qualification exam (Series 6, 7…)
- If you fail
- 30 days
- Wait after a 1st or 2nd failure, 180 days after a 3rd (shorter from January 19, 2027)
- Where
- Prometric
- Test center or online proctored session, scheduled after enrollment
The four sections of the SIE.
What FINRA tests, how much each section weighs, and what to study in each.
- Section 116%Knowledge of Capital MarketsRegulators and SROs, market participants, types of markets, the Fed and economic factors, and the offering process.48 practice questions →
- Section 244%Understanding Products and Their RisksEquities, debt, options, packaged products, municipal fund securities, DPPs, REITs, hedge funds, ETPs and investment risks.132 practice questions →
- Section 331%Trading, Customer Accounts and Prohibited ActivitiesOrders and settlement, corporate actions, account types and registrations, AML, books and records, suitability, manipulation and insider trading.93 practice questions →
- Section 49%Overview of the Regulatory FrameworkRegistration and continuing education, employee conduct, outside business activities and reportable events.27 practice questions →
Pass the SIE, or get your money back
Pass guarantee: full refund if you fail the SIE exam after scoring 85%+ on three mock exams.
Mock exams must be taken while signed in, before your exam date. Read the conditions.
Frequently asked questions
Want to see the level first? Browse the 20 free questions with answers.
The Securities Industry Essentials (SIE) exam has 75 scored multiple-choice questions with 4 answer choices each, plus 10 unscored pretest questions mixed in (85 on screen; you can't tell them apart). You get 1 hour 45 minutes and need a score of 70 to pass. Questions are weighted by section: Capital Markets 16%, Products and Their Risks 44%, Trading, Customer Accounts and Prohibited Activities 31%, Regulatory Framework 9%.
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No subscription, no renewal. Practice until you pass, then come back before your Series 6 or Series 7.
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- The full bank: 300 questions across all 4 sections of the SIE outline
- Unlimited 75-question mock exams, timed and scored like the real exam
- Every answer explained, calculations shown step by step, sources cited
- Readiness dashboard: your score by section and the topics to review
- Lifetime access on all your devices, question updates included
- Pass guarantee: score 85%+ on three mock exams, pass or get a full refund
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