Question 1
An institution buys shares of an exchange-listed stock over the counter through a broker-dealer. Which market is this?
Learn the SIE one section at a time.
Find your weakest section in a free 25-minute diagnostic, fix it with a short lesson, then sit full 75-question practice exams.
The only interactive course with a tutor that finds your weak spots and fixes them.
Four sections, very different sizes
75 scored questions in 105 minutes. Products and their risks alone is 44% of the exam.
12 questions
Capital markets
Regulators, market types, offerings and the economy.
33 questions
Products and risks
Stocks, bonds, options, funds and what can go wrong.
23 questions
Trading and accounts
Orders, settlement, accounts, AML and prohibited acts.
7 questions
Regulatory framework
Registration, Forms U4 and U5, conduct and reporting.
Start with a free 25-minute diagnostic
20 questions weighted like the real exam, no account. You get your score by section and a short lesson on the one to fix first.
Try one question from each section
Question 2
Which option position is bearish?
Question 3
A stock is quoted 25.10 bid, 25.15 ask. At what price does a customer buy with a market order?
Question 4
A candidate passes the SIE. What can she now do?
In the course
- 15 interactive lessons
- 109 practice questions
- 2 full 75-question practice exams
Guides
- The SIE exam format
- The SIE passing score
- SIE section 1: Knowledge of Capital Markets
- SIE section 2: Understanding Products and Their Risks
- SIE section 3: Trading, Customer Accounts and Prohibited Activities
- SIE section 4: Overview of the Regulatory Framework
- The math on the SIE exam
- Retaking the SIE
- How to study for the SIE
SIE Genius Pro
US$79one payment
- 15 interactive lessons
- 109 practice questions
- 2 full 75-question practice exams
Full refund within 14 days. Ask within 14 days of paying, for any reason. Terms
By paying you agree to our Terms and get access straight away, which ends your 14-day cancellation right.
Take the free diagnostic firstApple Pay, Google Pay or card. Charged in USD.
One payment. No tax is charged. Access until 31 October 2027.