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SIE Exam

Securities Industry Essentials

Available

Entry-level exam for aspiring securities professionals

136questions

Free access

Introduction1 Q

Chapter 1: Knowledge of Capital Markets30 Q

Chapter 2: Understanding Products and Their Risks60 Q

Chapter 3: Trading, Customer Accounts and Prohibited Activities33 Q

+1 more topics

General Securities Representative

Coming Soon

Required for selling most types of securities

We're working on adding practice questions for Series 7.

Uniform Securities Agent State Law

Coming Soon

State-level securities agent registration

We're working on adding practice questions for Series 63.

Investment Adviser Representative

Coming Soon

Required for investment advisers

We're working on adding practice questions for Series 65.

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