Purchase FINRA : SIE Exam Materials and then pass exam easily
Updated: Oct 23, 2026
No. of Questions: 412 Questions & Answers with Testing Engine
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FINRA SIE Exam Syllabus Topics:
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Reference: https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam
FINRA SIE Exam Overview:
| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | Securities Industry Essentials Exam |
| Exam Number: | SIE |
| Real Exam Qty: | 75 |
| Exam Format: | Multiple Choice |
| Exam Duration: | 105 minutes |
| Related Certifications: | Series 7 Series 99 Series 79 Series 57 Series 6 |
| Certificate Validity Period: | 4 years |
| Exam Price: | USD $100 |
| Passing Score: | 70 |
| Available Languages: | English |
| Sample Questions: | FINRA SIE Sample Questions |
| Exam Way: | Proctored in-person exam administered at Prometric testing centers |
| Pre Condition: | Must be at least 18 years old. No firm association required to take the SIE. To become registered, must also pass a representative-level qualification exam while associated with a FINRA member firm. |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam |
FINRA Securities Industry Essentials Exam (SIE) Sample Questions:
A registered representative is positive about the prospects of Company ABC, a publicly traded corporation.
He wants to send an email to his customers about the company's stock. Which of the following statements in that email is prohibited?
- A. "The stock has paid a quarterly dividend for the past 20 years."
- B. "There is strong demand for ABC stock, and it will hit $50 per share, a 20% increase, by May of this year."
- C. "ABC has recently changed management. The new chief executive officer has 12 years of experience in ABC's industry."
- D. "According to the attached research report, our firm has rated the stock a strong Buy."
Correct Answer: B 🗳️
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Company ABC stock currently trades on an exchange. An ABC insider wants to sell a large number of shares of her privately held ABC stock. ABC files the necessary paperwork to register the shares, but the insider decides to wait and sell the stock at a later date. Which of the following terms best describes the type of offering that is occurring in this situation?
- A. An exempt offering
- B. A rights offering
- C. A secondary offering
- D. A private offering
Correct Answer: C 🗳️
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Which of the following statements is true regarding a member firm's business continuity plan?
- A. Each member firm must provide its business continuity plan to FINRA annually.
- B. Each member firm must provide its business continuity plan to all customers at least annually.
- C. Each member firm must disclose to its customers at the time of account opening how its business continuity plan addresses the possibility of a significant business disruption.
- D. Each member firm must have a website and post its business continuity plan to that website.
Correct Answer: C 🗳️
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A registered representative (RR) at a member firm is the subject of a statutory disqualification. Which of the following statements is true?
- A. The RR is prohibited from employment by a member firm in any registered capacity but is permitted to be employed in an unregistered capacity.
- B. The RR is prohibited from soliciting business but is permitted to accept unsolicited orders.
- C. The RR is prohibited from any association or employment with a member firm unless he obtains a waiver.
- D. A statutory disqualification, although reportable to CRD, does not affect employment in the securities industry.
Correct Answer: C 🗳️
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Under Industry rules, what is the maximum price that qualifies a security as a penny stock?
- A. $0.10
- B. $0.50
- C. $i.00
- D. $5.00
Correct Answer: D 🗳️
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