Securities Industry Essentials (SIE) exam
SIE Exam Prep That Actually Sticks
The Securities Industry Essentials (SIE) exam is the entry point to a career in the securities industry. Finance Exam Pro breaks the whole exam into short, focused lessons, then drills you with original, exam-style questions that explain every answer — so you build real understanding instead of memorizing.
Free to start · No card required
- 75
- Questions
- 1h 45m
- Time limit
- 70%
- To pass
2,151 approved practice questions and 43 lessons in this track today.
The SIE is open to anyone 18 or older — no firm sponsorship required, which makes it the ideal first securities exam.
Reviewed by a licensed representative
See it work
A real SIE question
Pick an answer and every choice gets explained — the right one and the traps. This is exactly how practice works inside the app.
Reportable Events & Borrowing Rules
Try it — no account neededFor reporting purposes, what makes a customer's expression of dissatisfaction a reportable customer complaint?
The blueprint
What's on the SIE exam
Our lessons and mock exams follow these weightings, so your study time lands where the marks are.
- Knowledge of Capital Markets16%
- Understanding Products and Their Risks44%
- Understanding Trading, Customer Accounts, and Prohibited Activities31%
- Overview of the Regulatory Framework9%
Free tool
Will you be ready in time?
Three questions, and an honest answer — including if the answer is no.
Timelines are general guidance drawn from our own study guides, not a promise — your background and consistency matter more than any number here.
How it works
How Finance Exam Pro gets you ready
Short, guided lessons
One concept per screen, in plain English — you always know what to study next.
Practice that adapts
Miss a question and it comes back; master a topic and it steps aside. Every answer is explained.
Spaced-repetition flashcards
Key terms resurface right before you'd forget them, so review time is never wasted.
Realistic mock exams
Full-length, section-weighted, and timed — with a readiness score that tells you when you're ready.
Questions
SIE exam FAQ
How many questions are on the SIE exam?+
The SIE has 75 scored questions and you have 1 hour 45 minutes to complete it.
What is a passing score on the SIE?+
You need roughly 70% to pass. Finance Exam Pro's readiness score and mock exams tell you when you're consistently above that line.
Do I need a sponsor to take the SIE?+
No. Unlike the Series 7 or Series 6, the SIE can be taken by anyone 18 or older without firm sponsorship, so it's a great way to show employers you're serious.
How long does it take to study for the SIE?+
Most people need a few weeks of consistent study. Our adaptive plan builds a schedule around your exam date and available time.
Start your SIE prep today
Create a free account and take your first lesson in minutes. No card required to start.