Overview

**UPDATED FOR 2021** About the Securities Industry Essentials Examination (SIE) The SIE is designed to test candidates entering the securities industry in four major topic areas: - Knowledge of Capital Markets, focuses on topics such as types of markets and offerings, broker-dealers and depositories, and economic cycles. (16% of exam; 12 questions)- Understanding Products and their Risks, covers securities products at a high level as well as associated investment risks. (44% of exam; 33 questions)- Understanding Trading, Customer Accounts and Prohibited Activities, focuses on accounts, orders, settlement and prohibited activities. (31% of exam; 23 questions) - Overview of the Regulatory Framework, encompasses topics such as SROs, registration requirements and specified conduct rules. (9% of exam; 7 questions)

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