SIE practice
Pick a section, answer a set of questions, read the explanation right away.
- AllAll sections, mixedQuestions from every section, shuffled.300 questions100%
- 1Knowledge of Capital Markets1.1.1 The SEC · 1.1.2 Self-regulatory Organizations · 1.1.3 Other Regulators and Agencies · 1.1.4 Market Participants and Their Roles · 1.2.1 Types of Markets · 1.3.1 The Federal Reserve Board · 1.3.2 Business Economic Factors · 1.3.3 International Economic Factors · 1.4 Offerings48 questions16% of the exam
- 2Understanding Products and Their Risks2.1.1 Equity Securities · 2.1.2 Debt Instruments · 2.1.3 Options · 2.1.4 Packaged Products · 2.1.5 Municipal Fund Securities · 2.1.6 Direct Participation Programs · 2.1.7 REITs · 2.1.8 Hedge Funds · 2.1.9 Exchange-traded Products · 2.2 Investment Risks132 questions44% of the exam
- 3Trading, Customer Accounts and Prohibited Activities3.1.1 Orders and Strategies · 3.1.2 Investment Returns · 3.1.3 Trade Settlement · 3.1.4 Corporate Actions · 3.2.1 Account Types and Characteristics · 3.2.2 Customer Account Registrations · 3.2.3 Anti-money Laundering · 3.2.4 Books and Records and Privacy · 3.2.5 Communications, Best Interest and Suitability · 3.3.1 Market Manipulation · 3.3.2 Insider Trading · 3.3.3 Other Prohibited Activities93 questions31% of the exam
- 4Overview of the Regulatory Framework4.1.1 Registration and Continuing Education · 4.2.1 Employee Conduct · 4.2.2 Reportable Events27 questions9% of the exam