SIE
The SIE is FINRA's entry-level qualification exam — the first gate into virtually every US securities career, from broker-dealer reps to wealth-management and capital-markets roles. It is the only FINRA exam you can sit without a sponsoring firm, so students and career-changers take it to prove they are job-ready before recruiting even starts. A pass is valid for four years and pairs with a "top-off" exam like the Series 7 once you are hired. This page breaks down exactly what the SIE tests, how Prometric delivers it, and how to clear the 70% bar the first time.
Pay Only After You Pass
No upfront fee — you settle only after your verified passing result. We advertise guaranteed results — 100% pass guaranteed or money back.
How the FINRA SIE exam is built — at a glance
75
You face 80 multiple-choice items, but only 75 count toward your score. The remaining 5 are unidentified pretest questions FINRA is trialing — you cannot tell which is which.
70%
A fixed 70% pass line — roughly 53 of the 75 scored items correct. There is no curve and no partial credit; the result is a simple pass or fail shown on screen at the end.
4
Capital Markets, Products & Their Risks, Trading & Customer Accounts, and the Regulatory Framework — drawn from FINRA's published SIE content outline.
You get 1 hour 45 minutes to answer all 80 questions — about 78 seconds each — with no scheduled break. The clock is unforgiving: the SIE rewards quick recall of definitions, product features, and rules rather than long calculations, so candidates who stall on dense vocabulary questions often run out of time before the final section.
The SIE is fixed-form rather than adaptive: every item is a single-best-answer multiple choice with four options. Expect heavy "except," "not true," and scenario-based wording that tests whether you truly understand a product or rule rather than just recognizing a keyword. A basic on-screen calculator is provided.
Four content sections — bars show each section's share of the 75 scored questions
About 12 questions on market structure, regulatory bodies (SEC, FINRA, SROs), economic factors, and the roles of broker-dealers, issuers, and the Federal Reserve.
The biggest section — about 33 questions on equities, bonds, packaged products, options, and the market, credit, liquidity, and inflation risks attached to each.
About 23 questions on order types, settlement, account registrations, customer screening, and prohibited conduct such as insider trading and market manipulation.
The smallest section — about 7 questions on SRO regulatory requirements, employee conduct, and the registration and reporting obligations of associated persons.
Section 2 alone is nearly half the exam, so weak product knowledge sinks more candidates than any other gap. The tricky part is breadth: the SIE expects working familiarity with municipal bonds, options, packaged products, and DPPs all at once, plus the specific risk that attaches to each — exactly the volume of detail that trips up first-time test-takers.
Two ways to sit the SIE through Prometric — and what to expect on test day
You sit the exam in a quiet, monitored room at a Prometric center. Staff verify your government-issued ID, take a photo and palm-vein scan, store your belongings in a locker, and provide an erasable noteboard. The $100 fee is paid to FINRA when you schedule through your candidate account.
You take the SIE from a private room at home, monitored by a live ProProctor through Prometric's software. You download the ProProctor application, run a system check, complete an ID verification and 360° room scan, and stay on camera throughout. The fee is the same $100.
A valid, unexpired government photo ID with a name matching your FINRA registration. ProProctor captures a photo and ID image, and a live readiness agent verifies you before the exam unlocks.
A clear desk, no second monitor, no phone or notes within reach, and a full webcam sweep of the room. No scratch paper for online delivery — only an on-screen whiteboard tool is allowed.
Stay in frame and silent the whole time. There is no scheduled break in the 1h45m session. Looking off-screen, reading aloud, or leaving your seat can pause or void the session.
The SIE is the entry point to a US securities career
No sponsorship needed — but the breadth is the trap
Difficulty: The SIE has little math, but the sheer volume of products, risks, and regulatory definitions makes it deceptively hard for newcomers. Most candidates report 30–50 hours of study, and the 70% line leaves no room for guessing your way through the product-heavy Section 2 — exactly the pressure point our help is designed to remove.
The SIE is a product-heavy, memorization-dense exam standing between you and a securities job offer — and a fail can stall a start date or a Series 7 top-off. Exam Assist pairs you with a vetted securities specialist and works on a pay-after-you-pass model, so the risk sits with us, not you. No upfront fee, guaranteed results: Exam Assist handles the sitting end to end, and you settle only after the verified result.
Tell us your test date, delivery method (Prometric center or ProProctor online), and whether the SIE is a hiring condition. Takes a couple of minutes over WhatsApp, Telegram, or Discord.
We review your timeline and target and tell you plainly whether it's realistic — before any money is discussed. If it isn't a fit, we say so.
Exam Assist handles the sitting end to end. You're matched with a securities specialist who maps the work around the product-heavy Section 2, the regulatory rules, and the ProProctor check-in — discreetly and confidentially.
You only pay once your passing result is confirmed on your official report. No verified result, nothing owed.
Our securities-licensing service covers the SIE and the Series 7 top-off on a pay-after-you-pass basis.
Building toward a fuller finance career? See how we support the CFA and other finance credentials.
Share your SIE date and details to get a feasibility answer and a private plan — no upfront fee.
See the full pay-after-you-pass securities service, pricing model, and how matching works.
Straight answers about the FINRA SIE exam
Service and sibling finance exams
Pair with a vetted securities specialist for the SIE and the Series 7 top-off. No upfront fee — settle only after a verified passing result.
Explore the service CFAThe CFA Institute's first level — the deeper investment-analysis credential many securities professionals pursue next.
View exam CFPThe CFP Board's certification for financial planners — a common path for advisors building on a securities license.
View exam CMAThe IMA's management-accounting credential — a finance-cluster certification for corporate and analyst-track roles.
View examGet expert SIE help with no upfront fee — you settle only after your verified passing result. Honest feasibility answer first, results-first arrangement always.