SIE (Securities) — beta

SIE Practice Test 1 (Beta)

Free — no payment neededPractice betaLevel: Mixed

Practice beta: 20 original questions organized by the FINRA SIE content outline. Not affiliated with FINRA.

20 questions
About 12 minutes · untimed
Pass mark 14 of 20 (70%)

Created by AI

Practice test, not affiliated with any government agency. Original questions written from public sources, checked by a second AI reviewer and automated checks. Rules change; confirm with the official handbook.

Before you start

Questions: 20 multiple-choice questions, one at a time
Time: About 12 minutes. Untimed — take as long as you need.
Pass mark: 14 out of 20 correct (70%)
Feedback: Your score, the correct answers and short explanations when you finish
Account: Not needed. Your answers stay in this browser.

What this test covers

Knowledge of capital marketsTrading customer accounts and prohibited activitiesOverview of regulatory frameworkProducts and their risks

Preview the first question

Which SEC rule covers private resales of securities to large institutional buyers?

Rule 144A
Rule 164
Rule 147
Rule 145

Answers are revealed on the results page after you finish.

Back to SIE (Securities) — beta tests

20 questions · ~12 minFree · Pass mark 70%

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