SIE (Securities) — beta
SIE Practice Test 27 (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
Trading customer accounts and prohibited activitiesProducts and their risksOverview of regulatory frameworkKnowledge of capital markets
Preview the first question
A firm needs to know which rule covers keeping basic customer information such as name, address, and employment on file for each account.
- Rule 3230, Telemarketing
- Rule 2232, Customer Confirmations
- Rule 4512, Customer Account Information
- Rule 2264, Margin Disclosure Statement
Answers are revealed on the results page after you finish.