Examius
🇺🇸 United States · Finance
FINRA Series 7 / SIE Exams Syllabus
FINRA licensing exams (Securities Industry Essentials and Series 7 General Securities Representative) required to sell securities in the US.. The complete FINRA Series 7 / SIE Exams outline — 7 subjects, 25 chapters and 77 topics — laid out so you can see exactly what has to be covered and tick each item off as you go.
FINRA Series 7 / SIE Exams subjects
Each subject below has its own page with the full chapter → topic → sub-topic tree and a set of real exam-style flashcards.
3 chapters · 10 topics · 28 sub-topics
SIE: Securities Products and Their Characteristics4 chapters · 13 topics · 33 sub-topics
SIE: Trading, Customer Accounts, and Prohibited Practices4 chapters · 12 topics · 27 sub-topics
Series 7: Equity, Debt, and Packaged Products in Depth4 chapters · 12 topics · 32 sub-topics
Series 7: Options and Derivative Strategies3 chapters · 9 topics · 20 sub-topics
Series 7: Customer Accounts, Suitability, and Margin4 chapters · 12 topics · 25 sub-topics
Series 7: Securities Regulation, Underwriting, and Professional Conduct3 chapters · 9 topics · 22 sub-topics
FINRA Series 7 / SIE Exams flashcard decks
357 question-and-answer cards across 7 decks, written against this syllabus. Preview any deck free.
- Securities Industry Essentials (SIE): Regulatory Framework & Market Structure — 51 cards
- SIE: Securities Products and Their Characteristics — 54 cards
- SIE: Trading, Customer Accounts, and Prohibited Practices — 50 cards
- Series 7: Equity, Debt, and Packaged Products in Depth — 52 cards
- Series 7: Options and Derivative Strategies — 50 cards
- Series 7: Customer Accounts, Suitability, and Margin — 50 cards
- Series 7: Securities Regulation, Underwriting, and Professional Conduct — 50 cards
How to work through the FINRA Series 7 / SIE Exams syllabus
The outline on this page is arranged the way the syllabus itself is: subject, then chapter, then topic, then sub-topic. That last level is what most study plans skip, and it is where coverage actually goes wrong — a chapter marked "done" often has three sub-topics inside it that were never touched.
Weight your plan accordingly: SIE: Securities Products and Their Characteristics carries 13 topics while Series 7: Securities Regulation, Underwriting, and Professional Conduct carries 9. Giving both the same number of weeks is the most common planning mistake for FINRA Series 7 / SIE Exams.
The ~95 hour estimate above is a first pass only: roughly 45 minutes per topic plus 12 minutes per sub-topic. Revision cycles, past papers and mocks sit on top of that number.
FINRA Series 7 / SIE Exams syllabus FAQ
What subjects are in the FINRA Series 7 / SIE Exams syllabus?
FINRA Series 7 / SIE Exams covers 7 subjects: Securities Industry Essentials (SIE): Regulatory Framework & Market Structure, SIE: Securities Products and Their Characteristics, SIE: Trading, Customer Accounts, and Prohibited Practices, Series 7: Equity, Debt, and Packaged Products in Depth, Series 7: Options and Derivative Strategies, Series 7: Customer Accounts, Suitability, and Margin and Series 7: Securities Regulation, Underwriting, and Professional Conduct. Together they contain 25 chapters and 77 named topics.
How many topics does the FINRA Series 7 / SIE Exams syllabus contain?
The full FINRA Series 7 / SIE Exams outline breaks down into 25 chapters, 77 topics and 187 sub-topics. SIE: Securities Products and Their Characteristics is the largest single subject with 13 topics across 4 chapters.
How long does it take to cover the whole FINRA Series 7 / SIE Exams syllabus?
Roughly 95 hours for one full pass. That estimate allows about 45 minutes per topic plus 12 minutes per sub-topic, so it is first-pass coverage — revision, past papers and mock tests sit on top of it. At 3 hours a day that is about 5 weeks.
Are there FINRA Series 7 / SIE Exams flashcards?
Yes — 357 question-and-answer flashcards across 7 decks, one per subject, written against this syllabus. A sample of every deck is readable on this site for free, and the complete decks are in the Examius app.
Is this FINRA Series 7 / SIE Exams syllabus free to use?
Yes. Every page here is free to read, and importing the FINRA Series 7 / SIE Exams syllabus into the Examius app to tick off topics as you finish them is free too, in United States and everywhere else. No account is needed to start.
Related Finance syllabuses
Personal financial-planning certification from the CFP Board covering investments, retirement, tax, and estate planning.
Chartered Alternative Investment Analyst (CAIA) syllabusCredential from the CAIA Association focused on hedge funds, private equity, real assets, and alternative investments.
Chartered Financial Analyst (CFA) syllabusGlobally recognized investment-management credential from the CFA Institute, earned via three exam levels (I, II, III).
Chartered Financial Consultant (ChFC) syllabusAdvanced financial-planning designation from The American College of Financial Services.
Chartered Life Underwriter (CLU) syllabusInsurance and estate-planning designation from The American College of Financial Services for life insurance professionals.
Financial Risk Manager (FRM) syllabusRisk-management credential from the Global Association of Risk Professionals (GARP) earned via two exam parts.
Association of Corporate Treasurers (ACT) Qualifications syllabusProfessional treasury, corporate finance and risk management qualifications for treasurers and finance professionals.
CFA (Chartered Financial Analyst) syllabusCFA Institute's globally recognized investment and finance credential with three levels, widely pursued in India.
Chartered Banker Institute Qualifications syllabusUK professional banking qualifications and Chartered Banker status for retail, commercial and professional bankers.
Browse all 17 Finance syllabuses → · All United States exams →