Course Content
Introduction
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Learning Objectives
Course Outline
About the Exam
Module 1: Introduction to Capital Markets
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Overview of Capital Markets
Market Participants
Market Structures
Economic Factors
Types of Markets and Offerings
Module 2: Understanding Securities and Risks
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Equity Securities
Debt Instruments
Options and Packaged Products
Investment Risks
Module 3: Securities Offerings
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Types of Securities Offerings
Offering Documents and Regulations
Module 4: Trading and Settlement
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Trading Orders and Strategies
Settlement Processes
Investment Returns
Module 5: Customer Accounts and Compliance
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Types of Customer Accounts
Compliance and Anti-Money Laundering
Module 6: Regulatory Framework
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Registration and Continuing Education
Employee Conduct and Reportable Events
Module 7: Prohibited Activities and Ethical Standards
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Market Manipulation and Insider Trading
Other Prohibited Activities
Module 8: Review and Exam Preparation
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Comprehensive Review of Key Concepts
Exam Strategies and Tips
Appendices
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Appendix A: Glossary of Key Terms
Appendix B: Acronyms
Appendix C: Key Formulas and Calculations
Appendix D: Key Regulatory Entities and Legislation
Appendix E: Additional Resources and References
FINRA’s SIE exam prep
About Lesson

About the FINRA SIE Exam

The Securities Industry Essentials (SIE) Exam is an introductory-level exam that assesses a candidate’s knowledge of basic securities industry information, including concepts fundamental to working in the industry. This exam is a critical step for anyone looking to become a financial advisor or to enter the financial services sector.

Exam Requirements

  • Must be at least 18 years old.
  • No need for sponsorship by a firm to take the exam.
  • Pass the SIE exam to qualify for further securities licensing exams.

For more details, please refer to the official SIE exam content outline from FINRA.

What to Expect on the Exam

  • Number of Questions: 75 multiple-choice questions
  • Duration: 1 hour and 45 minutes
  • Passing Score: 70%
  • Format: The exam covers four main topics:
    • Knowledge of Capital Markets
    • Understanding Products and Their Risks
    • Understanding Trading, Customer Accounts, and Prohibited Activities
    • Overview of the Regulatory Framework

The exam is administered online or at designated test centers. To get a feel for the type of questions you might encounter, you can take a practice test provided by FINRA.

Study Tips

At Coy Academy, we offer a range of study materials to help you prepare effectively for the SIE exam:

  • Comprehensive study guides that cover all exam topics.
  • Interactive quizzes and practice exams to test your knowledge.
  • Detailed video lectures led by industry experts.
  • Assignments and study tips are designed to reinforce your understanding.
  • Access to a large question bank with real exam questions.

Here are some additional tips to maximize your study efficiency:

  • Set a consistent study schedule and stick to it.
  • Use our practice exams to identify areas where you need more focus.
  • Review the official exam content outline to ensure you cover all necessary topics.
  • Join study groups to discuss and clarify challenging concepts.

By taking advantage of these resources, you can build a strong foundation and increase your chances of success on the exam. For more information on our courses, visit the Coy Academy website.

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