Transcription of Securities Industry Essentials (SIE) Examination
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Securities Industry Essentials (SIE) Examination
2018 FINRAS ecurities Industry Essentials (SIE)ExaminationC O N T E N T O U T L I N E2 PURPOSEOFTHEEXAMThe Securities Industry Essentials (SIE) exam assesses a candidate s basic knowledge of the Securities Industry . The examfocuses on Industry terminology, Securities products, the structure and function of the markets, regulatory agencies and theirfunctions, and regulated and prohibited practices. For more information about the SIE, see FINRA Rule exam consists of 75 multiple-choice items, and each item consists of four answer choices. The allocation of test items isas follows:SectionDescriptionPercentage ofExam ItemsNumber of Items1 Knowledge of Capital Markets16%122 Understanding Products and Their Risks44%333 Understanding Trading, Customer Accounts andProhibited Activities31%234 Overviewof the Regulatory Framework9%7
8 Knowledge of: • Pass-through tax treatment • Unlisted • Generally illiquid 2.1.7 Real Estate Investment Trusts (REITs) • Types of REITs ° Private
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