Finance Exams
FINRA SIE Exam Prep — 300 Flashcards + Free Mock
300 cards aligned to FINRA SIE topic weights, paired with a free 75-question timed mock.
Instant .apkg download · Gumroad secure checkout
Free practice test
Free FINRA SIE Practice Test 2026 | 75-Question Mock
Run the linked 75-question timed practice test for topic scoring, answer review, and a pass/no-pass remediation plan before deciding what to drill next.
Take free 75-question SIE Exam practice testSample cards
What is the SEC?
The Securities and Exchange Commission is the federal regulator overseeing securities markets, issuers, exchanges, broker-dealers, investment advisers, and disclosure rules.
What is FINRA?
FINRA is a self-regulatory organization overseeing broker-dealers and registered representatives, including qualification exams, sales practice rules, and member firm supervision.
What does the MSRB regulate?
The Municipal Securities Rulemaking Board writes rules for municipal securities dealers, municipal advisors, and municipal market conduct.
Product facts
- Cards
- 300
- Coverage
- FINRA SIE topic weights: capital markets, products and risks, trading, accounts, prohibited activities, and regulation
- Format
- .apkg
- Price
- $11 USD
- Checkout
- Gumroad
- Exam cycle
- Current SIE exam cycle
- Delivery
- Digital download through Gumroad
Coverage by exam topic
| Topic | Exam weight | Cards |
|---|---|---|
| Knowledge of Capital Markets | FINRA SIE topic | High-yield cards |
| Products and Their Risks | FINRA SIE topic | High-yield cards |
| Trading, Customer Accounts, and Prohibited Activities | FINRA SIE topic | High-yield cards |
| Regulatory Framework | FINRA SIE topic | High-yield cards |
More about SIE ExamExam format, study tips, and how this deck compares
FINRA SIE exam prep
FINRA weights drive the deck: capital markets, products and risks, trading, customer accounts, and prohibited activities. The linked SIE mock mirrors the 75-question / 105-minute format so you know which chapters deserve another week of Anki before scheduling the real exam.
Built for: SIE exam candidates, finance interns, new hires, and career changers who want active-recall practice instead of passive rereading.
Covers: FINRA SIE topic weights: capital markets, products and risks, trading, accounts, prohibited activities, and regulation.
- Spaced-repetition flashcards
- 300 exam-focused flashcards
- Topic coverage table and samples on this page
- Linked free 75-question practice test
How this deck compares
300 cards for SIE Exam matches the current finra sie topic weights: capital markets, products and risks, trading, accounts, prohibited activities, and regulation in the coverage table — sized for daily review, not maximum download size. Start with the free 75-question SIE Exam practice test, then drill weak rows from the table.
| Approach | Typical size | Tradeoffs |
|---|---|---|
| Free community decks | 1,000–3,000 |
|
| Budget mega-packs | 1,000+ |
|
| This deck | 300 exam-focused flashcards |
|
SIE Exam study guide
What is inside
Cards follow FINRA's SIE outline: how capital markets function, equity and debt products, options basics, customer account types, AML red flags, and prohibited activities. Product-and-risk cards emphasize what can be sold to whom — the suitability logic the 75-question exam tests repeatedly.
Four-week SIE plan with the free mock
**Week 1:** Products and risks — 25 new cards/day. **Week 2:** Trading, markets, and customer accounts. **Week 3:** Take the free 75-question mock under 105-minute timing; drill missed chapters only. **Week 4:** Regulatory framework and prohibited-activities review — retake mock if any topic stays below 70%.
Pitfalls this deck targets
New entrants confuse IPO vs secondary offerings, margin account rules, and when a recommendation requires a suitability review. Cards phrase prompts the way FINRA multiple-choice questions do — short stem, one clear distinction.
The Securities Industry Essentials (SIE) is a FINRA qualification exam for candidates entering the U.S. securities industry. This page summarizes exam structure, official topic weights, and independent UniPrep2Go study products (not official FINRA material).
- Questions
- 75 multiple-choice
- Time
- 105 minutes
- Passing score
- 70% (pass/fail; no scaled score published)
- Delivery
- Computer-based at Prometric test centers
- Administered by
- FINRA
Knowledge domains and weights
| Domain | Weight |
|---|---|
| Knowledge of Capital Markets | 16% |
| Understanding Products and Their Risks | 44% |
| Understanding Trading, Customer Accounts, and Prohibited Activities | 31% |
| Overview of the Regulatory Framework | 9% |
High-yield facts (commonly tested)
- The SEC regulates securities markets and issuers; FINRA is the SRO overseeing broker-dealers and registered representatives.
- The MSRB writes rules for municipal securities dealers and municipal advisors.
- SIPC protects customer assets if a broker-dealer fails; it does not protect against market loss.
- A margin account lets a customer borrow from the broker to purchase securities; Reg T sets initial margin requirements.
- Market orders execute at the best available price; limit orders execute only at the specified price or better.
- Insider trading prohibitions apply to material nonpublic information about a security.
- The SIE is a prerequisite exam; passing it does not register a person with FINRA — a firm sponsorship is required for registration.
Verify current exam fees, scheduling, and administrative details at www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie. Independent study aid — not official exam material.
FAQ
What score do you need to pass the SIE exam?
FINRA reports SIE results as pass/fail. Candidates typically prepare for a 70% threshold on practice exams; verify current rules at finra.org.
How many questions are on the SIE and how long is the exam?
75 multiple-choice questions in 105 minutes.
What topics does the SIE cover?
Capital markets (16%), products and their risks (44%), trading and customer accounts (31%), and the regulatory framework (9%).
More questions (3)
Does passing the SIE register you as a representative?
No. Passing the SIE is a prerequisite; you still need firm sponsorship and completion of a top-off exam (such as Series 7) for registration.
What file format is delivered?
An Anki-compatible .apkg file delivered through Gumroad.
Is this official FINRA material?
No. This is an independent study aid and is not affiliated with, endorsed by, or sponsored by FINRA.
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Last updated 2026-05-31.