SIE Practice Exam 3
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The Federal Reserve Board (FRB) has functions including:

SIE Information

The SIE exam is an entry level exam for individuals looking to enter the financial services industry. The exam covers many topics and is grouped into 4 main categories on the exam:

  • Capital Markets
  • Understanding Products and Risks
  • Trading, Customer Accounts, and Prohibited Activities
  • Regulatory Framework

The SIE exam was created to help remove duplicate content that was on other finance exams. Candidates no longer have to be associated with a financial firm to take the SIE exam, which is a big plus for many candidates. 

Once you take and pass the SIE exam, you will be able to take other "top-off" exams such as the series 7 exam.


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