SIE Exam Practice Question Workbook: Seven Full-Length Practice Exams (2024 Edition)

Included are seven full-length 75-question exams covering the following topics:

• Knowledge of capital markets

• Understanding products and their risks

• Trading, customer accounts, and prohibited activities

• Overview of the regulatory framework

About the SIE Exam

The Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. In order to become registered to engage in securities business, an individual must pass the SIE exam and a qualification exam appropriate for the type of business the individual will engage in.