SIE exam constitutes 75 multiple question exams and takes 1 hour 45 minutes. One can take the exam even when they’ve already started working. Prospective security industry professionals don’t have to be associated with a brokerage firm to take the test.Īgain, it’s not restricted to those who are not yet employed. Trading customer accounts and prohibited practices.Regulatory authority framework and its functions.Fundamentals of security products and their risks.The exam covers basic knowledge of the financial security industry. SIE exam is open to anyone who wants to jumpstart their career in the security profession industry. The exam’s content was extracted from the repetitive content of nine Series exams, including Series 6, Series 7, Series 22, Series 99, and five others. ![]() SIE exam is FINRA’s introductory-level exam that was introduced on 1st October 2018.
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