SIE (Securities) — beta
SIE Practice Test 32 (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 activitiesKnowledge of capital marketsProducts and their risksOverview of regulatory framework
Preview the first question
Which rule describes the records a broker-dealer must create, such as order tickets and ledgers?
- Rule 15c1-3
- Rule 17a-4
- Rule 17a-3
- Rule 10b-10
Answers are revealed on the results page after you finish.