Security Industry Essentials (SIE) Exam Prep 2026

Security Industry Essentials (SIE) Exam 2026(SIE) Exam 2026 is a FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.Exam Content OutlineThe Securities Industry Essentials (SIE) Exam Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four sections. The table below lists the allocation of exam weight for each section.(1) Knowledge of Capital Markets 16%(2) Understanding Products and Their Risks 44%(3) Understanding Trading, Customer Accounts and Prohibited Activities 31%(4) Overview of Regulatory Framework 9%TOTAL 100%Exam formatNumber of Questions: 75Format: Multiple ChoiceDuration: 1 hour and 45 minutesPassing Score: 70Cost: $80After You Pass the SIEPassing the SIE alone does not qualify an individual for registration with a FINRA member firm or to engage in securities business. In order to become registered to engage in securities business, an individual must pass the Essentials exam and a qualification exam appropriate for the type of business the individual will engage in. The individual must be associated with a member firm to take a qualification exam.