SIE Exam

Expert Curated Digital Flashcards

SIE Exam Prep

The most comprehensive and effective web and mobile flashcards for the S.I.E. exam, thanks to our unique learning algorithm and our partnership with Knopman Marks.  Ace the S.I.E. exam the FIRST time you take it!


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The new Securities Industry Essentials (SIE) Exam is the first step to a career in financial services. The exam serves as a co-requisite to all other General Securities Exams and candidates must pass it to become a registered FINRA representative of any kind.

Unlike other FINRA exams, the SIE Exam is available to anyone. Typically, candidates for FINRA exams must be sponsored through a registered member firm to sit for an exam. The only requirement for the Securities Industry Essentials Exam is that candidates must be at least years of age. The exam consists of 75 graded multiple-choice questions, plus 10 experimental ungraded questions and candidates have 105 minutes to complete it. The SIE is valid for 4 years after passing.

Focus of the SIE Exam

All individuals who take the SIE are required to pass an additional “Top-Off” exam (such as the new Series 7 Top-Off, Series 6 Top-Off or Series 79 Top-Off) to be fully licensed.

The Securities Industry Essentials Exam focuses on fundamental knowledge of the securities industry. The exam will test on Knowledge of Capital Markets, Understanding Products and Their Risks, Understanding Trading, Customer Accounts and Prohibited Activities, and finally an Overview of Regulatory Framework.

The Best SIE Flashcards

We’re excited to partner with Knopman Marks , a leader in FINRA exam preparation to provide you with premium SIE Exam flashcards. Knopman Marks has the highest pass rates in the industry and has curated over 1,200 SIE flashcards for our students.

The Knopman Marks content combined with Brainscape’s Confidence-Based Repetition study algorithm are perfectly designed to help you to memorize, comprehend, and retain the testable information.

How to Study for the SIE

The flashcards provided by Knopman Marks are broken into five decks, each covering an essential component of the SIE Exam content:

  • Deck 1: Understanding Products and Their Risks - Part 1
  • Deck 2: Understanding Products and Their Risks - Part 2
  • Deck 3: Knowledge of Capital Markets
  • Deck 4: Customer Accounts
  • Deck 5: Regulatory Framework and Industry Rules

These flashcards will help you to drill on critical information tested on the SIE Exam. However, they are not meant to be a complete study solution. Instead, they are designed to be used in conjunction with an SIE textbook, course, and full set of practice questions.





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Lessons in this Class

# Deck Name Num. of Cards

Equity Securities

This deck focuses on terms and concepts relating to equity securities, including common stock, preferred stock, rights, warrants, and dividend procedures.


Debt Securities

This deck focuses on the general characteristics of fixed income securities, including bond pricing, bond yields, and various types of risks associated with bonds.


Types Of Bonds

This deck focuses on the different types of bonds, including corporate bonds, US Government debt, municipal bonds, and money market instruments.


Investment Company Securities

This deck focuses on the terminology and concepts relating to investment company products, including mutual funds, closed-end funds, UITs, and ETFs.


Other Managed Products

This deck focuses on the characteristics of REITs, direct participation programs (DPPs), as well as other managed products.



This deck focuses on the options market, including basic terminology, options strategies, and options trading.


Suitability & Investment Risk

This deck focuses on terms and concepts relating to investor suitability and investment risks.


Issuing Securities

This deck focuses on the securities issuance process, including SEC registration, exemptions from registration, and the role of underwriters in bringing new issues to market.


Secondary Market & Equity Trading

This deck focuses on the secondary market, including the role of market-makers and equity trading.


Economics & Monetary Policy

This deck focuses on important terms and concepts relating to economics and monetary policy including the business cycle, balance of trade, and the role of the Federal Reserve.


Customer Accounts

This deck focuses on the customer account opening process, different types of retail accounts and account titles.


Tax Advantaged Accounts & Products

This deck focuses on tax-advantaged accounts, including retirement plans, variable annuities, and municipal fund securities.


Finra Registration

This deck focuses on the FINRA registration of securities firms and professionals.


Business Conduct Rules

This deck focuses on various business practice rules within the securities industry, including insider trading, anti-money laundering procedures, communications with the public, and business conduct rules.