Finance Exams
SIE Exam Prep — 300 Flashcards + 75Q Mock (25Q Free)
300 cards aligned to FINRA SIE topic weights — free 25-question diagnostic or full 75-question timed mock.
One-time purchase · .apkg for Anki (desktop, AnkiMobile, AnkiDroid) · instant download via Gumroad
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56 people have purchased this deck. Recent UniPrep2Go checkout activity — not an official exam board figure.
Exam version & sources
Securities Industry Essentials (SIE)— what this product is (and isn't)
- Exam version
- FINRA SIE (75 scored + 5 pretest since Oct 27, 2025)
- Official source
- FINRA SIE exam overview
- Last reviewed
- September 29, 2026
- What this covers
- 300 cards — FINRA SIE topic weights: capital markets, products and risks, trading, accounts, prohibited activities, and regulation
- Does not replace
- Independent study aid — it does not replace FINRA content outlines and your firm's qualification training.
Free practice test
SIE Practice Test Free 2026 | 25Q Free, 75Q Timed
SIE Exam knowledge diagnostic — 75-question timed check (free 25-question version) with topic scoring and a readiness report before you buy the deck. It checks what you know; it is not a copy of the official exam format.
Take the free 25-question diagnosticSample cards
How do you find the conversion ratio and parity price of a convertible bond?
Conversion ratio = par value / conversion price. Parity stock price = bond market price / conversion ratio; at parity, converting neither gains nor loses value.
How does the Securities Exchange Act of 1934 differ from the 1933 Act?
The 1934 Act created the SEC and regulates the secondary market: exchanges, broker-dealers, trading practices, insider trading, margin credit, and ongoing issuer reporting.
When must a firm file a Currency Transaction Report?
A CTR is filed for cash transactions over $10,000 in one business day, including multiple cash deposits that add up to more than $10,000.
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Get 300-Card SIE Exam Deck — $19 USDProduct facts
- Cards
- 300
- Coverage
- FINRA SIE topic weights: capital markets, products and risks, trading, accounts, prohibited activities, and regulation
- Format
- .apkg
- Price
- $19 USD
- Checkout
- Gumroad
- Exam cycle
- FINRA SIE (75 scored + 5 pretest since Oct 27, 2025)
- Delivery
- Digital download through Gumroad
Coverage by exam topic
| Topic | Exam weight | Cards |
|---|---|---|
| Knowledge of Capital Markets | 16% of exam (12 items) | 48 |
| Products and Their Risks | 44% of exam (33 items) | 132 |
| Trading, Customer Accounts, and Prohibited Activities | 31% of exam (23 items) | 93 |
| Regulatory Framework | 9% of exam (7 items) | 27 |
Exam facts
Securities Industry Essentials (SIE)
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 scored multiple-choice + 5 unscored pretest items = 80 total (pretest reduced from 10 to 5 on Oct 27, 2025)
- Time
- 1 hour 45 minutes (105 minutes)
- Passing score
- 70 on FINRA's equated scale (not a raw 70% of questions); pass/fail result at the test center
- Delivery
- Computer-based at Prometric test centers
- Administered by
- FINRA
Knowledge domains and weights
| Domain | Official weight |
|---|---|
| Knowledge of Capital Markets | 16% (12 of 75 scored items) |
| Understanding Products and Their Risks | 44% (33 of 75 scored items) |
| Understanding Trading, Customer Accounts, and Prohibited Activities | 31% (23 of 75 scored items) |
| Overview of the Regulatory Framework | 9% (7 of 75 scored items) |
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.
Common Securities Industry Essentials (SIE) questions
Straight answers to the questions candidates usually search before buying prep or booking the exam.
What score do you need to pass the SIE exam?
FINRA sets a passing score of 70 on its equated scale — not a raw percentage of questions missed. Results are reported pass/fail at the test center; verify current rules at finra.org.
How many questions are on the SIE and how long is the exam?
75 scored multiple-choice questions plus 5 unscored pretest items (80 total since Oct 27, 2025) in 1 hour 45 minutes (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%).
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.
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.
More about SIE ExamStudy tips, positioning, 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. Start with the free 25-question quick diagnostic (~35 min) to find weak domains, or run the full 75-question / 105-minute mock before you schedule 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
- 2 linked free country readiness checks
How this deck compares
300 cards for SIE Exam matches the FINRA SIE (75 scored + 5 pretest since Oct 27, 2025) 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 75-question SIE Exam practice test (free 25-question version), 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 scored-question exam tests repeatedly (official sitting adds 5 unscored pretest items).
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 75-question mock (free 25-question version) 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.
Securities Industry Essentials (SIE) & product FAQ
What score do you need to pass the SIE exam?
FINRA sets a passing score of 70 on its equated scale — not a raw percentage of questions missed. Results are reported pass/fail at the test center; verify current rules at finra.org.
How many questions are on the SIE and how long is the exam?
75 scored multiple-choice questions plus 5 unscored pretest items (80 total since Oct 27, 2025) in 1 hour 45 minutes (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%).
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.
Also useful
Guides for SIE Exam
State rules, test-day logistics, and study plans that point back to this practice path.
- How to Read a FINRA Options Question Without Getting TrickedSIE and Series 7 options items are reading traps: long vs short, call vs put, 100× multiplier. Use this 4-step protocol, formula table, and six traps — then take the 75Q SIE mock (free 25-question version).
- FINRA SIE Exam Prep: Why Most People Fail and How to Avoid ItSIE exam pass rate is ~70% with retakes — first-timers fail for the same three reasons. What the exam tests, a 4-week study plan, plus 75Q timed mock (free 25-question version).
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