SIE Practice Exam 1
Please take a moment to complete this quiz.
Where would institutions wish to trade stocks for the cheapest transaction costs and most privacy?




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.