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.
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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.
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Add anything you like — you can also add other exams to the same order before checking out once.
Full study portal: question bank, quiz & exam modes, flashcards, glossary, progress tracking. One-time purchase, lifetime access.
A mock exam written specifically for your order — not from the standard bank. Does not include portal access on its own. Order as many as you like; every order is a new batch, different from the one you previously purchased.
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A tougher, "exam-hard" mock exam written specifically for your order, pushed past standard difficulty. Does not include portal access on its own. Order as many as you like; every order is a new batch, different from the one you previously purchased.
Adjust quantity in your cart — always unique
Portal Access plus one bonus Higher-Difficulty mock exam — the best-value way to start. (Extra Mock Exams can be added separately anytime, as many as you like.)
A custom set of flashcards written specifically for your order — pick how many you want. Delivered as its own unique link & code, separate from portal access.
Price updates automatically — nothing to calculate yourself.
Adjust quantity in your cart — always unique
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
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