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Browse FINRA SIE & Series Exam Guides
SIE Basics
Why the SIE Matters
Exam Structure
Eligibility and Registration
Format and Scoring
Study Strategies
Test-Taking Tips
Capital Markets
Regulators and Participants
SEC
Self-Regulatory Organizations
State Regulators and NASAA
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Market Structure
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Third and Fourth Markets
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Economic Factors
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Business Cycles and Indicators
Interest Rates and Inflation
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Products and Risks
Equity Securities
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U.S. Government Securities
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Money Market Instruments
Packaged Products
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Options Basics
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Annuities and Insurance
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Life Insurance Policies
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Prepayment and Extension Risk
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Trading, Accounts, and Compliance
Trading Securities
Order Types
Execution and Reporting
Confirmation and Settlement
Short Sales and Reg SHO
Customer Accounts
Account Types
New Account Docs
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Communications and Disclosures
Public Communications
Advertising and Sales Literature
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Disclosure Requirements
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Unauthorized Transactions
Selling Away and Outside Business
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Borrowing and Lending
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Privacy and Confidentiality
Regulation S-P
Identity Theft and Red Flags
Regulation and Compliance
Securities Laws
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Monetary and Fiscal Policy
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Exchange Rates and Currency Valuation
Globalization and Emerging Markets
Financial Statements
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Financial Ratios and Metrics
Market Analysis
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Diversification and Asset Allocation
Exam Preparation
Study Plan
Assessing Knowledge Gaps
Setting Study Goals
Time Management
Study Techniques
Active Reading and Note-Taking
Practice Questions and Mock Exams
Memory Aids and Mnemonics
Study Groups and Resources
Test-Taking Strategies
Understanding Exam Format
Managing Time During the Exam
Question Types
Reviewing Answers and Avoiding Errors
Exam Day Preparation
What to Expect on Exam Day
Exam Center Rules and Procedures
Managing Stress and Focus
After the Exam
Interpreting Exam Results
Registration with FINRA Member Firms
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Continuing Education and Career Growth
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FINRA
SIE
Products and Risks
Debt Securities
Debt Securities
Study corporate, government, municipal, agency, and money market debt instruments.
In this section
Corporate Bonds
Study corporate bond structure, issuer risk, yield, and credit quality.
U.S. Government Securities
Review Treasury bills, notes, bonds, and TIPS for SIE coverage.
Municipal Bonds
Understand municipal bond types, tax treatment, and basic risk factors.
Agency Securities
Review federal agency and GSE debt instruments and their guarantees.
Money Market Instruments
Study short-term debt instruments such as T-bills, commercial paper, and bankers acceptances.
Revised on Thursday, April 23, 2026
Equity Securities
Packaged Products