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Practice Exam
FINRA Securities Industry Essentials (SIE) Exam
The Securities Industry Essentials (SIE) Exam, administered by the Financial Industry Regulatory Authority (FINRA), is the initial licensing exam required for many entry-level securities industry positions in the United States. Passing the SIE demonstrates a basic understanding of the securities industry, its products, regulations, and ethical conduct.
Who Should Take the SIE Exam?
- Registered Representatives: Stockbrokers, investment advisors dealing with securities.
- Investment Banking Associates: Entry-level professionals in investment banking firms.
- Financial Advisors: Professionals providing financial advice and recommendations.
- Securities Analysts: Individuals researching and analyzing securities for investment purposes.
- Anyone New to the Securities Industry: Those seeking a foundational understanding of the industry to start their careers.
Course Outline
The FINRA Securities Industry Essentials (SIE) Exam covers the following topics -
1. Knowledge of Capital Markets 16%
2. Understanding Products and Their Risks 44%
3. Understanding Trading, Customer Accounts and Prohibited Activities 31%
4. Overview of the Regulatory Framework 9%
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