SIE practice exam
Solve each of the SIE practice test questions below to get a feel for what to expect on the actual SIE exam. Achievable's free SIE practice questions are scored instantly, providing the correct answer along with an easy to understand explanation. Get started on the path to passing the SIE exam by solving 10 SIE exam sample questions.
The basics, laws, and regulations of the financial markets. You'll need to know the primary and secondary markets, the regulators (SEC and FINRA), and their rules (Act of 1933, etc).
The products of the financial markets, which include stocks, bonds, mutual funds, ETFs, and options. You'll need to know what these products are, the risks of investing in them, and how they benefit investors.
How customers buy and sell securities in their accounts. You'll need to know different types of orders and accounts, how those orders are entered into the market, and the regulations that govern these activities.
How financial professionals operate in their jobs and the rules that govern their activities. You'll need to know FINRA and SEC rules, ethics of working with clients, and general procedures for financial professionals.
