All courses

FINRA

SIE

Entry-level FINRA exam, open to anyone 18+. First step toward Series 7 or other top-off licenses.

75 questions
105 min exam
4 topics
70% to pass

Course curriculum

1

Knowledge of Capital Markets

16% of exam · 4 sections

Free
Sign up to start free
2

Understanding Products & Risks

44% of exam · 5 sections

3

Trading, Accounts & Prohibited Acts

31% of exam · 4 sections

4

Overview of Regulatory Framework

9% of exam · 4 sections

Start studying

Free first chapter
AI tutor included
Progress saved