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Updated: Nov 09, 2026
No. of Questions: 412 Questions & Answers with Testing Engine
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FINRA SIE Exam Overview:
| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | Securities Industry Essentials (SIE) Exam |
| Exam Number: | SIE |
| Related Certifications: | FINRA Series 7 FINRA Series 6 FINRA Series 79 |
| Exam Duration: | 105 minutes |
| Certificate Validity Period: | 4 years |
| Real Exam Qty: | 75 scored multiple-choice questions |
| Passing Score: | 70% |
| Exam Format: | Multiple-choice, Computer-based exam |
| Available Languages: | English |
| Exam Price: | $80 USD |
| Recommended Training: | FINRA SIE Exam Content Outline FINRA Securities Industry Essentials Exam Overview |
| Exam Registration: | FINRA Exam Registration Overview FINRA SIE Exam Official Page |
| Sample Questions: | FINRA SIE Sample Questions |
| Exam Way: | Computer-based exam delivered at authorized testing centers (Prometric). |
| Pre Condition: | No formal prerequisites required. Recommended for individuals entering the U.S. securities industry. |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam |
FINRA SIE Exam Syllabus Topics:
| Topic | Details |
|---|---|
| Topic 1 |
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| Topic 2 |
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| Topic 3 |
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Reference: https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam
FINRA Securities Industry Essentials Exam (SIE) Sample Questions:
An investor sells 100 shares of common stock that she holds in her account. Which of the following terms best describes the type of sale this investor has made?
- A. Uncovered
- B. Long
- C. Short
- D. Covered
Correct Answer: B 🗳️
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If the market price of a corporate bond increases by one-half point, this is equal to which of the following amounts?
- A. $50.00
- B. $0.50
- C. $1.00
- D. $5.00
Correct Answer: D 🗳️
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A currency devaluation impacts a country ' s economic activity in which of the following ways?
- A. Increases imports from merchandise trade countries
- B. Decreases inflation
- C. Makes exports cost less in merchandise trade countries
- D. Decreases gross domestic product (GDP)
Correct Answer: C 🗳️
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A weakening of the U.S. dollar versus foreign currencies will generally result in which of the following situations?
- A. Foreign goods will be more expensive.
- B. U.S. imports will increase.
- C. Foreign goods will be less expensive.
- D. U.S. exports will decrease.
Correct Answer: A 🗳️
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On settlement date, a customer is unable to pay for a purchase in his cash account. His position is liquidated.
Which of the following statements is true according to Federal Reserve Regulation T?
- A. The customer is barred from trading for 30 days.
- B. Only closing transactions are permitted.
- C. All related accounts are frozen for 90 days.
- D. The customer ' s account is frozen for 90 days.
Correct Answer: D 🗳️
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