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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.

2 PURPOSE OF THE EXAM The Securities Industry Essentials (SIE) exam assesses a candidate’s basic knowledge of the securities industry. The exam

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