Build a Solid Foundation for Your FINRA SIE Certification
The FINRA Securities Industry Essentials (SIE) Exam is your entry ticket into the securities industry. This comprehensive FINRA Securities Industry Essentials Mock Tests course with 450 practice questions across 6 practice tests is crafted to mirror the true structure, difficulty, and regulatory focus of the SIE—designed specifically for the FINRA SIE exam preparation. Whether you’re seeking a position at a broker-dealer or aiming to jumpstart your career in finance, this course empowers you with the knowledge and confidence required to pass the FINRA SIE exam.
Enroll now to take a decisive step toward your FINRA SIE goals—strengthen your foundational knowledge, refine your exam techniques, and secure your place in the financial services industry.
Gururo is a PMI Authorized Training Partner
At-a-glance
Best for
- Customer support
- Client service professionals
- Paraprofessionals
- Anyone Serious
Why Gururo?
- Lowest Cost
- PMI Authorized Training Partner (ATP)
- 24*7 Support
- 365 days access
Course Details
- 6 full-length FINRA SIE mock exams
- 450+ challenging questions
- Instant Access
- Certificate of Completion
Highlights
- Realistic Exam Simulation
- Aligned with actual exam blueprint
- Progress Tracking & Review option
- Unlimited Attempts
What You’ll Learn
- Recognize fundamental securities products—equities, bonds, mutual funds, ETFs, and options.
- Explain and apply key regulatory concepts including the Securities Act of 1933, Securities Exchange Act of 1934, and FINRA rules.
- Evaluate basic economic indicators, financial statements, and market structures impacting securities pricing.
- Interpret and calculate fundamental mathematics — yield, bond pricing, and interest calculations.
- Apply suitability, ethics, and fiduciary duties in customer account scenarios.
- Identify different account types (individual, joint, retirement, municipal, corporate) and related rules.
- Understand order types, market participants, trade lifecycle, settlement processes, and trade reporting obligations.
- Recognize anti-money laundering (AML), cybersecurity, and customer identification (KYC) requirements.
- Analyze exam-style questions covering all four SIE domains with comprehensive answer explanations.
What you'll gain:
- Exposure to all four SIE domains: Knowledge of Capital Markets, Product Knowledge, Regulatory Framework, and Trading, Customer Accounts & Prohibited Practices.
- Regulatory scenario-based questions covering 1933/1934 Acts, FINRA rules, and ethical case studies.
- Mathematical question exposure on yield calculation, bond pricing, and interest accruals.
- Realistic, timed FINRA SIE mock exams simulating the actual 1.5-hour, 75-question test format.
- Feedback-rich explanations that clarify both correct and incorrect answer logic.
- Strategies for approaching regulatory phrasing, wordy stems, eliminating distractors, and managing time.
- Confidence building through spaced practice, performance tracking, and focused drills.
US/Canada Toll Free : 1714-410-1010IND: 080-62178271
Course Requirements / Prerequisites
- No prior experience or licensing required—this is an entry-level exam preparation course.
- Basic literacy and comfort reading financial, legal, and regulatory scenarios.
- Access to study materials or practice platform for quizzes and mock exams.
- Willingness to commit to consistent study and structured test-taking strategies.
- Openness to learning industry terminology, abbreviations, and regulatory vocabulary.
- Motivation to apply reasoning and elimination techniques to exam-style questions.
- Comfort with basic math skills including percentages, ratio calculations, and yield computation.
- Ability to work under timed conditions reflecting actual exam constraints.
- Interest in financial markets, investment products, and regulatory compliance.
- Access to a reliable internet connection or offline materials for uninterrupted practice.
Who Should Take This Course?
- Recent graduates entering finance who need foundational securities knowledge.
- Career changers transitioning into financial services from unrelated fields.
- Interns or incoming analysts at broker-dealers seeking early credential readiness.
- University students completing coursework in economics, finance, or business.
- Customer support or client service professionals in investment firms gaining regulatory insight.
- Paraprofessionals preparing for sponsorship with a broker-dealer employer.
- Career-switchers aiming for roles such as registered representative or investment advisor trainee.
- Professionals currently working in finance who need to update or reinforce fundamental knowledge.
- Anyone pursuing a future in securities, compliance, or financial regulation.
