If you’ve failed, you’ll retake the exam after 30 days.
So, it’s up to you to do a thorough revision for the exam. The passing rate for the SIE exam is 74% for first-time test-takers. What is the passing rate for the SIE exam?
#Aviation exam passing rate series
It’s also a requirement to take Series 6, Series 7, and other FINRA qualification exams. Passing the exam shows your commitment as a financial industry professional. Passing the securities industry essentials proves to potential employers that you are serious about getting started in the securities industry. Overview of Regulatory Framework 9% (7 questions).Understanding Trading, Customer Accounts and Prohibited Activities 31% (23 questions).Understanding Products and Their Risks 44% (33 questions).Knowledge of Capital Markets 16% (12 questions).Study the four sections of the exam content.Įach section is weighted differently in the exam. Here are the frequently asked questions concerning the SIE exam. This section is about employee conduct rules, registered representative registration, continuous education, and situations that may require industry professionals to disclose information to the public.
Here candidates learn about the regulations that govern registered representatives’ work. Overview of Regulatory Framework: This section makes up 9%. In this section, aspiring security industry professionals learn about investors’ roles in the industry, the different customer accounts, and the regulations that protect investors. Understanding Trading, Customer Accounts, and Prohibited Activities: This section contains 31% of the final exam questions. This section covers the different types of securities and their investment risks. Understanding Products and Their Risks: This section makes up 44% of the exam. Specifically, learners delve into the financial service industry, types of economic markets and the factors that influence the market, regulatory entities, and security offerings. This preliminary section equips candidates with knowledge of the security industry and the regulations. Knowledge of Capital Markets: Makes 16% of the SIE exam. The Financial Industry Regulatory Authority SIE exam has four sections.
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