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SIE Prep Course

Ace the Security Industry Essentials (SIE) exam by the Financial Industry Regulatory Authority (FINRA)

750+
PRACTICE QUESTIONS
We include multiple full-length practice tests with hundreds of practice questions.
32
LESSONS
All lessons are adapted from our highly reviewed study guide.
325
FLASHCARDS
Learn with our flashcards anytime, anywhere!
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Money-Back Guarantee

Try our course for 1 week, and if you don't feel that it's for you, get your money back, no questions asked!

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For EVERY Type of Learner
Visual Learners

Get access to relevant images, graphs, and more!
Reading Learners

Read content adapted from our highly reviewed study guide, so you don't miss a thing!
Learn by Repeating

Redo a difficult lesson as many times as it takes to stick in your memory!
Learn by Practice

Take our practice tests and be quizzed after lessons. Gain confidence!
Track Your Progress

Whether you are on desktop or mobile, you can read through lessons, mark them complete, and know where you've left off.

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Prep That Empowers

Get the study resource that covers the whole test and prepares you where you need it most!

Knowledge of Capital Markets

Understanding Products and Their Risks

Understanding Trading, Customer Accounts, and Prohibited Activities

Overview of the Regulatory Framework

Count The Reasons
1
e-Guide
Get access to content from the best-reviewed study guide available.
2
e-Flashcards
Our course includes a flashcard mode with 325 content cards to help you study.
3
8 Full Tests
With 750+ practice questions and lesson reviews, you can test yourself again and again, to build confidence.
4
Bonuses
Use our bonus guides to unlock the secret keys to your exam, discover the best way to study, learn how to deal with test anxiety, and more!
5
Guaranteed
You need to have confidence in what you study. Signing up for the SIE Prep Course will give you a worry-free studying experience, backed by our 7-day money-back guarantee!
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Course Outline
Expand All

SIE Pretest

SIE Pretest

SIE Course

Welcome to the Mometrix SIE Course!
Study Tips and Test-Taking Strategies
5 Secret Keys to SIE Exam Success5 Topics
Expand
Lesson Content
Secret Key #1: Plan Big, Study Small
Secret Key #2: Make Your Studying Count
Secret Key #3: Practice the Right Way
Secret Key #4: Pace Yourself
Secret Key #5: Have a Plan for Guessing
Test-Taking Strategies3 Topics
Expand
Lesson Content
Question Strategies
Answer Choice Strategies
General Strategies
Subject Content
Knowledge of Capital Markets4 Topics
Expand
Lesson Content
Regulatory Entities, Agencies, and Market Participants
Market Structure
Economic Factors
Offerings
Understanding Products and Their Risks6 Topics
Expand
Lesson Content
Products: Equity Securities
Products: Debt Instruments
Products: Options
Products: Packaged Products & Municipal Fund Securities
Products: DPPs, REITs, Hedge Funds, & ETPs
Investment Risks
Understanding Trading, Customer Accounts, and Prohibited Activities6 Topics
Expand
Lesson Content
Trading, Settlement, and Corporate Actions: Orders and Strategies
Trading, Settlement, and Corporate Actions: Investment Returns
Trading, Settlement, and Corporate Actions: Trade Settlement & Corporate Actions
Customer Accounts and Compliance Considerations: Account Types and Characteristics
Customer Accounts and Compliance Considerations: Anti-Money Laundering (AML) & Books and Records and Privacy Requirements
Prohibited Activities
Overview of the Regulatory Framework2 Topics
Expand
Lesson Content
SRO Regulatory Requirements for Associated Persons
Employee Conduct and Reportable Events
Tell Us What You Think
SIE Course Feedback
Bonus Content
Guide to Effective Studying6 Topics
Expand
Lesson Content
Scheduling Study Time
Where and How to Study
Reading Methods
Taking Notes
Health
Exam Day
How to Overcome Test Anxiety
SIE Flashcards

SIE Practice Tests

Practice Test 1
SIE Practice Test 1
Practice Test 2
SIE Practice Test 2
Practice Test 3
SIE Practice Test 3
Practice Test 4
SIE Practice Test 4
Practice Test 5
SIE Practice Test 5
Practice Test 6
SIE Practice Test 6
Practice Test 7
SIE Practice Test 7
Practice Test 8
SIE Practice Test 8
Start Prepping Now!

SIE Prep Course by Mometrix

Covers:

Knowledge of Capital Markets

  • Regulatory Entities, Agencies, and Market Participants
  • Market Structure
  • Economic Factors
  • Offerings

Understanding Products and Their Risks

  • Equity Services
  • Debt Instruments
  • Packaged Products & Municipal Fund Securities
  • Investment Risks

Understanding Trading, Customer Accounts, and Prohibited Activities

  • Trading, Settlement, and Corporate Actions
  • Customer Accounts and Compliance Considerations
  • Prohibited Activities

Overview of the Regulatory Framework

  • SRO Regulatory Requirements for Associated Persons
  • Employee Conduct and Reportable Events

Features:

Study Guide

Get access to content from the best-reviewed study guide available.

Track Your Progress

Our customized course allows you to check off content you have studied or feel confident with.

8 Full-Length Practice Tests

With 750+ practice questions and lesson reviews, you can test yourself again and again to build confidence.

Flashcards

Our course includes a flashcard mode consisting of 325 content cards.
59.99 (billed monthly)
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