Securities Industry Essentials (SIE) Exam — FINRA
The Securities Industry Essentials (SIE) exam is FINRA's entry-level test of how the securities industry works, covering capital markets, products and their risks, trading and customer accounts, and the regulatory framework. It has 75 multiple-choice questions in 105 minutes, and it is the first step toward registration, although passing the SIE alone does not register you. SummitCert's portal gives you explained practice questions, flashcards, a timed 75-question mock exam and progress tracking by topic.
One-time purchase · lifetime access · study on any device
The path to General Securities Representative
Everything included — in full detail
This is exactly what you unlock. No vague promises — real numbers, straight from the portal.
Your full practice pool — 350 questions total, written to mirror the real exam blueprint, with full answer explanations for every question.
Including Knowledge of Capital Markets, Understanding Products and Their Risks, Understanding Trading, Customer Accounts and Prohibited Activities, and more.
A complete, realistic exam-day simulation with the same question count and time limit as the real thing.
Covering every key term, concept, and framework you're expected to know.
Hand-picked walkthroughs and explainers organized by topic.
Visual breakdowns of the frameworks and models the exam tests you on.
The exact formulas and calculations you need, ready to review before test day.
A searchable glossary so unfamiliar terminology never slows you down.
See your accuracy by domain, spot weak areas early, and follow a built-in study schedule.
Tailored to this exam: it knows your progress and weak areas, remembers your earlier chats, and picks up where you left off on your other devices.
Study anywhere — your progress syncs on the device you are using and picks up where you left off.
No subscriptions, no renewals — buy once and keep studying until you pass.
See the SIE Exam portal
Real screenshots — this is exactly what you'll be studying in. Click to zoom in.
How would you like to start?
Try before you buy, or jump straight into full access.
Topics you'll drill
4 core topics pulled straight from the real question bank.
- Knowledge of Capital Markets
- Understanding Products and Their Risks
- Understanding Trading, Customer Accounts and Prohibited Activities
- Overview of the Regulatory Framework
SIE Exam exam requirements & cost
Straight from the certifying body — separate from what we charge for the study portal.
The SIE has 75 multiple-choice questions and you have 1 hour and 45 minutes; FINRA lists a passing score of 70 (FINRA SIE exam page). The FINRA content outline weights four areas: Knowledge of Capital Markets 16% (12 questions), Understanding Products and Their Risks 44% (33 questions), Understanding Trading, Customer Accounts and Prohibited Activities 31% (23 questions) and Overview of the Regulatory Framework 9% (7 questions). The exam is open to anyone aged 18 or older, no firm association is required, and you can test at a Prometric test center or online; FINRA states that results are valid for four years. FINRA lists a passing score of 70 but does not say whether that is a percentage of questions or a scaled score, so the portal mock shows 70 percent only as a self-check. FINRA lists the SIE exam at $100 (October 2026); qualification exams such as the Series 7 are separate exams with their own fees. The content outline spreads questions across 4 areas; the largest are Understanding Products and Their Risks (44.0%); Understanding Trading, Customer Accounts and Prohibited Activities (31.0%); Knowledge of Capital Markets (16.0%). The full list of areas and weights is on the portal exam page. Open to anyone aged 18 or older; association with a firm is not required (FINRA).
SIE Exam exam blueprint
Real domain weighting from the certifying body's own published exam syllabus.
- Knowledge of Capital Markets16%
- Understanding Products and Their Risks44%
- Understanding Trading, Customer Accounts and Prohibited Activities31%
- Overview of the Regulatory Framework9%
Real pass rate, retake policy, scoring, and a study timeline for SIE Exam — free, no purchase required.
Common questions
You might also need
Tax compliance and planning discipline prep for the CPA Evolution blueprint.
Core payroll concepts, calculation of the paycheck, compliance/research and resources, payroll process and systems administration, payroll administration and management, audits, and accounting content across all seven PayrollOrg-tested domains — full prep for the 190-question Certified Payroll Professional (CPP) exam.
Working capital, investment appraisal, business finance, valuation and risk — practice for the three-hour ACCA FM computer-based exam, with 1,000 flashcards, 350 quiz questions and a timed 32-question mock exam.
Ethics, risk assessment, audit evidence and reporting — practice for the four-hour CPA AUD section, with 1,000 flashcards, 350 quiz questions and a 78-question mock exam.
Financial reporting, balance sheet accounts and select transactions — practice for the four-hour CPA FAR section, with 1,000 flashcards, 350 quiz questions and a 50-question mock exam.