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The SIE Exam is a foundational test by FINRA that assesses your basic knowledge of the securities industry. It’s designed for aspiring professionals who want to start a career in finance and investments.
The Financial Industry Regulatory Authority (FINRA) is the official body that conducts and regulates the SIE Exam.
Not all, but it’s essential for many entry-level roles in brokerage firms, investment companies, and financial services.
It proves you understand industry basics like types of securities, regulatory bodies, and market functions—making you more attractive to potential employers.
Nope! Unlike other FINRA exams, the SIE does not require firm sponsorship, making it a great first step for job seekers.
The exam code is simply SIE.
The exam duration is 1 hour and 45 minutes.
There are 75 scored multiple-choice questions plus 10 unscored pretest questions.
You need a score of 70% or higher to pass.
The registration fee is $80, payable directly through FINRA.
You can retake it, but you must wait 30 days before attempting again.
You can retake it twice after the initial attempt. After the third failure, there's a 180-day waiting period.
The exam covers four main areas:
Not word-for-word, but you should understand key rules, their purpose, and who enforces them.
There are a few basic calculations, but nothing too advanced. Think percentages and yield formulas.
Yes, understanding ethical practices and compliance responsibilities is a significant part.
Uzbekistan
I’m transitioning into finance and the SIE test was my first step—these questions built my confidence before the real deal.
TESTED 13 Sep 2025
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