SIE (Securities) — beta
SIE Practice Test 2 (Beta)
Free — no payment neededPractice betaLevel: Mixed
Practice beta: 20 original questions organized by the FINRA SIE content outline. Not affiliated with FINRA.
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
Overview of regulatory frameworkTrading customer accounts and prohibited activitiesProducts and their risksKnowledge of capital markets
Preview the first question
A firm wants to give a client's employee a gift to win business. Which FINRA rule most directly limits this practice?
- Rule 2264, margin disclosure
- Rule 4370, business continuity plans
- Rule 3220, influencing or rewarding employees of others
- Rule 8312, BrokerCheck disclosure
Answers are revealed on the results page after you finish.