The exam focuses on industry terminology, securities products, the structure and function of the markets, regulatory agencies and their functions, and regulated and prohibited practices. The Securities Industry Essentials (SIE) exam assesses a candidate’s basic knowledge of the securities industry. This introductory-level exam assesses knowledge of basic industry information, including fundamental concepts such as types of products and their risks the structure of the markets, regulatory agencies and their functions and prohibited See all 5 rows on The Security Industry Essentials ® (SIE ®) Exam is a FINRA exam for anyone considering a career in the financial services industry. 5 rowsThe Securities Industry Essentials ® (SIE ®) Exam is a FINRA exam for prospective SECTIONS PERCENTAGE OF EXAM QNUMBER OF EXAM QUESTI
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