FINRA SIE Practice Tests *2025-26*
Description:
Master the FINRA Securities Industry Essentials (SIE) Exam with 7 Full-Length Practice Tests and 525 Expert-Designed Questions!
Prepare to succeed in your journey toward a career in the regulated securities industry with our comprehensive SIE Exam practice resource. The SIE Exam is an essential first step for aspiring finance professionals. It provides foundational knowledge required to take advanced FINRA licensing exams such as the Series 7 (General Securities Representative) exam. Even for those not pursuing licensing, passing the SIE exam demonstrates expertise in the securities industry, boosting your appeal to potential employers.
Our preparation package includes 7 full-length practice exams with 525 expertly designed multiple-choice questions, mirroring the format, topics, and timing of the real SIE Exam. With detailed explanations for every answer, you will know what is correct and understand why—ensuring mastery of critical concepts.
Why Choose This Practice Series?
Realistic Exam Format: Questions are structured and timed like the official exam.
Comprehensive Coverage: Covers all key SIE exam topics, ensuring you're fully prepared.
Immediate Feedback: Get instant results with detailed explanations for every question to reinforce your knowledge.
Repeat Until Perfect: Revisit incorrect answers and retake tests to ensure complete understanding.
The official SIE exam includes 75 multiple-choice questions, a 1 hour and 45-minute time limit, and requires a 70% passing score. Our practice tests replicate these conditions to help you gain confidence and ace the exam on your first attempt.
Please note: These practice questions are not official FINRA questions. They are original and designed to reflect the format and content of the actual exam. This resource has not been reviewed, approved, or endorsed by FINRA and claims no affiliation.
Start practicing today and take the first step toward your career in the securities industry!
Here are the chapters we cover in this course:
Chapter 1: Understanding Regulatory Entities and Market Participants
Overview of the SEC, SROs, and other regulators
Market participants: broker-dealers, investors, advisors, and more
Chapter 2: Exploring Market Structure
Types of markets: primary, secondary, third, and fourth
Economic factors affecting the markets
Chapter 3: The Federal Reserve and Economic Impact
The role of monetary and fiscal policy
Key economic indicators and business cycles
Chapter 4: Securities Offerings and Distribution
Understanding public and private offerings, IPOs, and secondary offerings
Regulatory requirements, including SEC filings and blue-sky laws
Chapter 5: Equity Securities – Stocks and Ownership
Common and preferred stock, rights, warrants, and ADRs
Key concepts: voting rights, order of liquidation, and restrictions
Chapter 6: Debt Securities – Bonds and Loans
Treasury, corporate, and municipal bonds
Interest, yield, maturities, and price relationships
Chapter 7: Options – Hedging and Speculation
Types of options, including puts and calls
Key concepts: expiration, strike price, and varying strategies
Chapter 8: Packaged Products and Municipal Fund Securities
Mutual funds, ETFs, REITs, and more
Understanding fees, NAV, breakpoints, and disclosures
Chapter 9: Investment Risks and Mitigation Strategies
Identifying various types of risks (e.g., credit, interest rate)
Diversification, portfolio rebalancing, and hedging techniques
Chapter 10: Trading and Settlement
Trade types and order strategies (e.g., market, stop, limit)
Corporate actions and their impact on securities prices
Chapter 11: Customer Accounts and Anti-Money Laundering (AML)
Types of accounts: individual, joint, custodial, margin
AML regulations and reporting requirements (e.g., SAR, CTR)
Chapter 12: Books, Records, and Privacy Requirements
Record retention, account statements, and business continuity plans
Privacy requirements under Regulation S-P
Chapter 13: Prohibited Activities and Insider Trading
Market manipulation, insider trading, and penalties
Restrictions on IPO participation and misuse of customer funds
Chapter 14: Overview of the Regulatory Framework
SRO qualification, registration, and continuing education
Employee conduct, reportable events, and political contributions
Here are the chapters we cover in this course:
Chapter 1: Understanding Regulatory Entities and Market Participants
Overview of the SEC, SROs, and other regulators
Market participants: broker-dealers, investors, advisors, and more
Chapter 2: Exploring Market Structure
Types of markets: primary, secondary, third, and fourth
Economic factors affecting the markets
Chapter 3: The Federal Reserve and Economic Impact
The role of monetary and fiscal policy
Key economic indicators and business cycles
Chapter 4: Securities Offerings and Distribution
Understanding public and private offerings, IPOs, and secondary offerings
Regulatory requirements, including SEC filings and blue-sky laws
Chapter 5: Equity Securities – Stocks and Ownership
Common and preferred stock, rights, warrants, and ADRs
Key concepts: voting rights, order of liquidation, and restrictions
Chapter 6: Debt Securities – Bonds and Loans
Treasury, corporate, and municipal bonds
Interest, yield, maturities, and price relationships
Chapter 7: Options – Hedging and Speculation
Types of options, including puts and calls
Key concepts: expiration, strike price, and varying strategies
Chapter 8: Packaged Products and Municipal Fund Securities
Mutual funds, ETFs, REITs, and more
Understanding fees, NAV, breakpoints, and disclosures
Chapter 9: Investment Risks and Mitigation Strategies
Identifying various types of risks (e.g., credit, interest rate)
Diversification, portfolio rebalancing, and hedging techniques
Chapter 10: Trading and Settlement
Trade types and order strategies (e.g., market, stop, limit)
Corporate actions and their impact on securities prices
Chapter 11: Customer Accounts and Anti-Money Laundering (AML)
Types of accounts: individual, joint, custodial, margin
AML regulations and reporting requirements (e.g., SAR, CTR)
Chapter 12: Retirement Plans and Statements
Types of retirement accounts: IRAs, 401(k)s, Roth IRAs
Contribution limits, tax implications, and distribution rules
Understanding retirement account statements and performance metrics
Chapter 13: Books, Records, and Privacy Requirements
Record retention, account statements, and business continuity plans
Privacy requirements under Regulation S-P
Chapter 14: Prohibited Activities and Insider Trading
Market manipulation, insider trading, and penalties
Restrictions on IPO participation and misuse of customer funds
Chapter 15: Overview of the Regulatory Framework
SRO qualification, registration, and continuing education
Employee conduct, reportable events, and political contributions
Unlock your potential and ace the SIE exam with confidence. Enroll in SIE (Securities Industry Essentials) Practice Tests (2025-2026) today, and take the first step toward your successful career in the securities industry!