SIE

SIE Exam Prep

++INSTRUCTIONS

For detailed instructions visit: www.triviumtestprep.com/s/instructions.pdf

Or feel free to contact us with any question directly at https://baepsae.us

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++TAB1Study GuideTAB1++

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++TOPTITLEAbout the SIE Study GuideTOPTITLE++

++CONTENTSIE Exam Prep includes everything you need to pass the SIE exam the first time.

Quick review of the concepts covered on the SIE exam
2 full practice tests with detailed answer explanations
Tips and tricks from experienced financial services industry professionals
Access to your second practice test onlineCONTENT++

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++TITLELook InsideTITLE++

++CONTENT

++BOOKPDF BOOKPDF++

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++TITLEAdditional Title InformationTITLE++

++CONTENTTitle: SIE Exam Prep 2023 and 2024: 2 Practice Tests and Study Guide for the FINRA Securities Industry Essentials

Release Date: May 6, 2023

Length: 210 pages

ISBN: 9781637984420 CONTENT++

- - -INSTRUCTIONS- - -
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Have questions about the SIE exam? Click below to find the answers you need.

++TABLETOP TABLETOP++ ++TABLEROW ++TABLEITEM Getting Ready TABLEITEM++ ++TABLEITEM Taking the Exam TABLEITEM++ ++TABLEITEM After the Exam TABLEITEM++ TABLEROW++ ++TABLEROW ++TABLEITEM ++QUESTION What Is the SIE Exam? QUESTION++

++QUESTION What is a General Securities Representative? QUESTION++

++QUESTION How do I Become a Registered Representative? QUESTION++

++QUESTION Who Administers the SIE? QUESTION++

++QUESTION What is FINRA? QUESTION++ TABLEITEM++ ++TABLEITEM ++QUESTION What’s on the SIE? QUESTION++

++QUESTION How Is the SIE Administered? QUESTION++

++QUESTION How Long Is the SIE? QUESTION++

++QUESTION How many questions are on the SIE? QUESTION++

++QUESTION Where do I take the SIE? QUESTION++ TABLEITEM++ ++TABLEITEM ++QUESTIONWhat’s a Passing Score on the SIE Exam?QUESTION++

++QUESTIONCan I take the SIE and the Series 7 at the same time?QUESTION++ TABLEITEM++ TABLEROW++

++ANSWERWhat Is the SIE Exam?

The Securities Industry Essentials (SIE) exam measures a candidate’s competency to perform the duties of a General Securities Representative (GSR).ANSWER++

++ANSWERWhat is a General Securities Representative?

A GSR is a financial professional who is licensed to sell securities.ANSWER++

++ANSWERHow do I Become a Registered Representative?

To become a registered representative or GSR, a candidate must pass both the SIE exam and the Series 7 exam.ANSWER++

++ANSWERWho Administers the SIE?

The SIE is administered by the Financial Industry Regulatory Authority (FINRA), Inc.ANSWER++

++ANSWERWhat is FINRA?

FINRA is a self-regulatory organization that protects investors.ANSWER++

++ANSWER What’s on the SIE?

The candidate must be familiar with the four major functions that make up the exam.

++TABLETITLE What's on the SIE? TABLETITLE++ ++TABLE4ROW ++TABLEITEM Section TABLEITEM++ ++TABLEITEM Description TABLEITEM++ ++TABLEITEM Percentage of Exam TABLEITEM++ ++TABLEITEM Number of Questions TABLEITEM++ TABLE4ROW++ ++TABLE4ROW ++TABLEITEM 1 TABLEITEM++ ++TABLEITEM Knowledge of Capital Markets TABLEITEM++ ++TABLEITEM 16% TABLEITEM++ ++TABLEITEM 12 TABLEITEM++ TABLE4ROW++ ++TABLE4ROW ++TABLEITEM 2 TABLEITEM++ ++TABLEITEM Understanding Products and Their Risks TABLEITEM++ ++TABLEITEM 44% TABLEITEM++ ++TABLEITEM 33 TABLEITEM++ TABLE4ROW++ ++TABLE4ROW ++TABLEITEM 3 TABLEITEM++ ++TABLEITEM Understanding Trading, Customer Accounts and Prohibited Activities TABLEITEM++ ++TABLEITEM 31% TABLEITEM++ ++TABLEITEM 23 TABLEITEM++ TABLE4ROW++ ++TABLE4ROW ++TABLEITEM 4 TABLEITEM++ ++TABLEITEM Overview of the Regulatory Framework TABLEITEM++ ++TABLEITEM 9% TABLEITEM++ ++TABLEITEM 7 TABLEITEM++ TABLE4ROW++ ++TABLE4ROW ++TABLEITEM TOTAL TABLEITEM++ ++TABLEITEM 1 hour and 45 minutes TABLEITEM++ ++TABLEITEM 100% TABLEITEM++ ++TABLEITEM 75 (+10 pretest) TABLEITEM++ TABLE4ROW++ ANSWER++

++ANSWERHow Is the SIE Administered?

The SIE is a computer-based examANSWER++

++ANSWERHow Long Is the SIE?

Examinees have one hour and forty-five minutes to complete the exam.ANSWER++

++ANSWERHow Many Questions are on the SIE?

There are 85 multiple-choice questions on the SIE. Only 75 questions are scored.ANSWER++

++ANSWERWhere Do I Take the SIE?

The SIE exam is administered by Prometric testing centers.ANSWER++

++ANSWERWhat’s a Passing Score on the SIE Exam?

A passing score on the SIE is 70 (out of 100).ANSWER++

++ANSWERCan I take the SIE and the Series 7 at the same time?

Yes, you can take both exams on the same day.ANSWER++