Ebook
SIE Exam Prep: Securities Industry Essentials, Explained and Practiced (Ebook)
A clear course for the Securities Industry Essentials exam, written for students and career changers with no industry experience: eleven modules, the math worked step by step, and two full practice exams.
$9.99 one time · 14-day full refund · EPUB and PDF · download link by email
By Matthew Colt · EPUB and PDF · 323 pages · facts checked November 2026 · More books by Matthew Colt
Who it is for
Students and career changers preparing for the SIE, including people with no securities industry experience, and anyone whose employer has asked them to pass it.
Not the right fit if
You are preparing for the Series 7, 63, 65 or 66 (the SIE is only the entry exam), or you want FINRA's own materials. Independent prep, not affiliated with FINRA.
Why it is different
- Written for beginners: each topic is explained in plain language before the jargon.
- The math (yields, options, margin) is worked step by step.
- All practice questions are original. Both formats in one download: EPUB and the print-layout PDF.
What is inside
- Eleven modules. Following the four sections of FINRA's content outline: capital markets and regulators, offerings, equities, debt, options, packaged products, alternatives and risk, trading and settlement, customer accounts, prohibited activities and the rules for registered people.
- Every module ends with practice. Key terms, exam tips and a quiz, with every answer explained.
- Two full practice exams. 75 questions each, weighted by section like the real test, with a complete answer key and a scoring table that shows where to review.
- The exam at a glance. Questions, time, passing score, fee and the retake rules, as published by FINRA and checked in November 2026.
- Glossary. The terms from every module, collected at the back.
A look inside
The cover and a page from inside
Table of contents
What the book covers
- The SIE exam at a glance
- Module 1: The Capital Markets and Who Regulates Them
- Module 2: Economic Factors and Securities Offerings
- Module 3: Equity Securities
- Module 4: Debt Instruments: Bonds, Government Securities, Munis and Yields
- Module 5: Options: Calls, Puts and Basic Strategies
- Module 6: Packaged Products and Municipal Fund Securities
- Module 7: Alternative Investments and Investment Risks
- Module 8: Trading, Returns, Settlement and Corporate Actions
- Module 9: Customer Accounts and Compliance
- Module 10: Prohibited Activities
- Module 11: The Regulatory Framework for People
- Practice Exam 1
- Practice Exam 2
- Practice exam answer key
- Glossary
323 pages in the print-layout PDF. From the book's own contents; facts checked November 2026.
Get it
SIE Exam Prep (ebook)
Want every toolkit? The toolkit membership includes all of them, with a lower rate if you pay yearly.
Delivered as one zip with the book twice: an EPUB for e-readers and reading apps, and the print-layout PDF. No DRM. For your own personal use. Independent exam prep, not affiliated with or endorsed by FINRA. SIE and Securities Industry Essentials are FINRA's marks. Exam facts were checked in November 2026; check FINRA's current SIE page before you schedule. Payment is handled by Stripe. If a file will not open or something looks wrong, reply to your order email and we will make it right.
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Common questions
What formats do I get, and what can I read it on?
Both, in one zip: an EPUB for e-readers and reading apps (Apple Books, Google Play Books, Kobo, most Android reading apps, and Kindle through Amazon's Send to Kindle, which accepts EPUB files), and the 323-page print-layout PDF for any computer, tablet or phone. There is no DRM. The download link shows right after payment and comes by email. The free sample is the first 10 pages of the PDF.
What's inside?
Eleven modules that follow the four sections of FINRA's SIE content outline, each with key terms, exam tips and a quiz with every answer explained; two full 75-question practice exams weighted like the real test, with an answer key and a scoring table; the official exam facts checked in November 2026; and a glossary.
Is this investment advice, and is it from FINRA?
Neither. It is independent exam preparation, not investment, legal or tax advice, and it is not affiliated with or endorsed by FINRA. The practice questions are original, not real exam questions. FINRA changes its rules, fees and exam content from time to time, so check its SIE page before you schedule.
Can I get a refund?
Yes. If it is not right for you, email us within 14 days of buying for a full refund, as the terms say. If a file will not open, reply to your order email and we will make it right.
Free sample
Read the first 10 pages free
Get the first 10 pages of the PDF by email. We send one confirmation email, and no series follows.
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