75 SIE Exam Questions - SIE Final Exam: Learn The Topics You Need To Know To Pass Your Exam!

Do you want to PASS the SIE EXAM? If so, THIS is a great video for you.

Suzy made this video based upon a student request. This is the LONGEST video to date she has made!

Let us know if you have a topic you would like to see Suzy cover in the comments to this video!

This Questions of the Week video covers an ENTIRE SIE FINAL EXAM! That is 75 Securities Industry Essentials (SIE) questions for you! You must feel confident in the topics presented to PASS this exam.

To check out the SIE course:

On of the hardest parts about the SIE exam is that it expects you to know a lot of concepts! It takes time and effort to pass this exam. We believe in you and know that YOU GOT THIS!

Suzy also has courses for those of you studying for your Series 6, 7, 63, 65 and 66 exams!

Check out all our offerings here:

Let's see what Cherie had to say about Suzy's SIE course:
"I had taken the SIE twice and “barely” failed so it was obvious something was not clicking with how I was learning and absorbing the material. I had honestly given up hope that I would ever pass. I purchased this course as a hail mary after watching a couple Youtube videos and I am so happy I did! I just passed the SIE on my third attempt and I am convinced it had everything to do with this course! Suzy is wonderful, I felt like I had a private tutor that really cared about my success. I am not sure if she knows but Suzy is my friend for life! lol. To anyone else that has had trouble passing the SIE, do not give up and get this course!!! You can do it 🙂"

Thanks so much for your kind words Cherie, I count all my students as friends!

Please let us know how we can help you on your journey in the securities industry. Just ask in the comments.

#sieexam #sietestprep #FINRAexams #sieexamprep

Contents of this Video
0:00 - Intro
0:20 - Question 1 – Regulation S-P
1:03 - Question 2 – Treasury best for inflation
1:39 - Question 3 – Depression
1:58 - Question 4 – Types of 529 plans
2:28 - Question 5 – Best return for comparison purposes
3:00 - 6 – Risk when money is not invested
3:41 - 7 – Sunk costs
4:04 - 8 – $5,000 cash deposits over several days
4:52 - 9 – Life insurance
5:34 - 10 – Stock splits effect on an open order to buy
6:59 - 11 – Political uprising risk
7:19 - 12 – Synonym for carrying broker/dealer
7:45 - 13 – Shelf registration
8:28 - 14 – Not an unsystematic risk
9:12 - 15 – Options
9:48 - 16 – UITs
10:17 - 17 – Regulation BI
10:57 - 18 – Loan
11:31 - 19 – Communication Records
11:58 - 20 – ADRs
12:48 - 21 – What activities are allowed once an application is submitted
13:11 - 22 – Unsecured short-term corporate debt
13:47 - 23 – Markets
14:27 - 24 – How long to reapply without having to retest
14:54 - Maintaining Qualification Program (MQP)
15:32 - 25 – Client buys stock out of b/d inventory
16:23 - 26 – Measurements of market sentiment
16:56 - 27 – Annuity payout options
17:30 - 28 – ETFs
17:56 - 29 – Stock dividends
18:31 - 30 – New muni bond disclosure document
19:03 - 31 – HSAs
19:29 - 32 – Right of cumulative preferred stockholder
20:26 - 33 – Risk related to failure of a company
20:45 - 34 – Complaints
21:27 - 35 – Business Continuity Plan
22:09 - 36 – Bond Rating
22:43 - 37 – Dividend
23:02 - 38 – Program Disclosure Document
23:39 - 39 – ESA funding date
24:09 - 40 – Electronic communications
24:41 - 41 – Mutual fund dividends
25:13 - 42 – Fed securities law that regulates the secondary market
25:53 - 43 – Portfolio of callable bonds
27:16 - 44 – Proxy statement
27:36 - 45 – Trust created during maker's lifetime
27:51 - 46 – Rumors via social media
28:17 - 47 – ETNs
28:42 - 48 – A security
28:59 - 49 – Margin maintenance requirements
29:40 - 50 – Accredited investor
31:17 - 51 – Hedge a portfolio against market risk
31:54 - 52 – Risk an importer should be aware of
32:13 - 53 – Highly leveraged company
32:30 - 54 – Statutory disqualification
33:02 - 55 – Unregistered persons
33:24 - 56 - CBOE fingerprint based background checks
34:24 - 57 - Hardest type of business to raise capital for
34:52 - 58 – SDNs
35:47 - 60 – Roth IRA
37:06 - 61 – Trusts
37:54 - 62 – Cost basis on inherited asset
38:50 - 63 – Hedge funds
39:08 - 64 – DPPs
39:25 - 65 – PFOF
40:08 - 66 – Form filed to register
40:36 - 67 – Institutional trades
41:27 - 68 – Long a call most make
41:35 - Hardest part of the SIE exam - WHIPLASH
42:52 - 69 – Bank CD risk at maturity
43:46 - 70 – Not an insider
44:41 - 71 – Not an equity security
45:01 - 72 – Equity security best for income
45:55 - 73 – Debt of foreign countries
46:08 - 74 – Who oversees the securities industry
46:39 - 75 – Non-cash compensation
47:00 - How did we do?
47:11 - SIE Exam broken down into four sections
47:22 - Topics within each section
47:45 - Make your CORRECTIONS to PASS
48:23 - Hardest part of the SIE EXAM
49:00 - THANK YOU

[karenswartz]

Couldn't have done it without you! Career changer trying to make up for my lack of experience in the industry - long story short, I crammed for 11 days and tested this morning. It wasn't just the content you covered, but the test taking thought process you cultivated that got the "PASS" :D Thank you Suzy!

[JasmineWiggins-dv]

I found this channel at 9pm on the night before my test. I had been studying for 2+ weeks but these videos really put it in perspective and made everything make sense. I went through all the SIE videos and PASSED my exam this morning at 8:30am. Thank you so much for doing this.

[paulf]

Just passed today. Some of your test questions were almost word for word on my actual exam.

[M_Bregs]

I found this video last night, and after failing my previous attempt my 2%…I can happily say I passed and this video FOR SURE helped me! Your problem solving and step by step for the answers helped tremendously! Thank you!

[antinosocial]

See this is why it’s important to read and understand the question. Thank you so much.

[Daniel-rrjm]

Saturday is the day I take it! Needed this! 🎉 let’s make it happen everyone!

[anthonypuccio]

Thanks for all your help. I passed the SIE today.

[HeartxOfficial]

Taking my SIE exam on Nov 21st right before Thanksgiving. I’m nervous . Getting majority of questions in this video right has been reassuring for me . Using STC. Will update “When” I pass 1st attempt hopefully 🙏🏾

[diegoj.alvaradoroy]

Gathering all the information, need to take the SIE very soon. Hope this helps. Thank you.

[TheSpyWhoCriedMedic]

Hi Suzy! Just passed my SIE after binging your videos. Thanks for the help!

[tvashi]

You are awesome. Your explanation is fantastic. Please keep up the good work.

[mashahben]

I watch this video over 20 times now
And still watching others on this channel I’m literally GLUED to these videos not sure if I’m doing it correctly but I feel more confident then the actual Kaplan course provided by my firm I just wanna pass all my test ASAP SIE, Series 7, and 65

[trebarnes]

You are a god send. I used SIE for dummies to study and 9:05 I’m taking my SIE in 2 days but I may buy your course just to send you money for how valuable these have been. Thank you x100

[audilover]

Hi Suzy, Thank you but i hope i can get 100% like you did.

[anthonyjaramillo]

Thank you for posting this very helpful video! Regarding Q 15 about options though, based on the wording shouldn't the answer be B? The investor selling the call has an obligation to buy shares, but he has SOLD the right to buy shares to the purchaser of the call. Taking the exam in a few days and I get tripped up by question wording more than anything else.

[lsworldtraveler]

Thank you - this is so helpful. I wish you well

[perelijnii]

This was VERY helpful and super informative! ty so much! need help understanding something though... i am getting ready for sie using Knopman Marks book, and after watching this exam prep, i am realizing that some questions are NOt even covered in the Knopman book... like for example questions about PFOF, trust during maker's life, HSA and so on... Now i am scared that one the actual exam i will encounter some questions that are not even in the book ... :(

[bilbil]

Test on Saturday, really nervous. Don’t know if I’ve studied enough.

[BimobaCF]

I just started working with Morgan Stanley and I have to pass the SIE, series 7, series 66 I’m scared out of my mind because I never worked anywhere but the Medica field.
Is this the same questions I will see in the test or will it be different?

[Jacqueline-]

I really appreciate your time and video, is there more videos i need to watch or only this one?