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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 full FINRA Series 7 / SIE Exams syllabus: 7 subjects, 25 chapters, 77 topics and 187 sub-topics, with 357 flashcards written against it.
FINRA Series 7 / SIE Exams subjects
FINRA Series 7 / SIE Exams has 7 subjects. Each one is listed below with its chapters in syllabus order; open a subject for every topic and sub-topic inside them.
Securities Industry Essentials (SIE): Regulatory Framework & Market Structure
- Regulatory Bodies, Agencies, and Market Participants · 3 topics
- Market Structure and Trading Venues · 3 topics
- Economic Factors and the Business Cycle · 4 topics
SIE: Securities Products and Their Characteristics
- Equity Securities · 3 topics
- Debt Securities · 4 topics
- Pooled Investment Vehicles · 3 topics
- Options and Derivatives · 3 topics
SIE: Trading, Customer Accounts, and Prohibited Practices
- Account Types and Registration · 3 topics
- Settlement, Clearing, and Corporate Actions · 3 topics
- Prohibited Activities and Conduct · 3 topics
- Regulatory Reporting and AML · 3 topics
Series 7: Equity, Debt, and Packaged Products in Depth
- Advanced Equity Securities · 3 topics
- Corporate and Government Debt Analysis · 3 topics
- Municipal Securities In Depth · 3 topics
- Packaged Products and DPPs · 3 topics
Series 7: Options and Derivative Strategies
- Options Pricing and Mechanics · 3 topics
- Income and Hedging Strategies · 3 topics
- Complex Multi-Leg Strategies · 3 topics
Series 7: Customer Accounts, Suitability, and Margin
- Opening and Maintaining Accounts · 3 topics
- Suitability and Recommendations · 3 topics
- Margin Accounts · 3 topics
- Taxation of Investments · 3 topics
Series 7: Securities Regulation, Underwriting, and Professional Conduct
- Securities Acts and Registration · 3 topics
- The Underwriting Process · 3 topics
- FINRA Conduct Rules and Ethics · 3 topics
FINRA Series 7 / SIE Exams flashcards
357 question-and-answer cards across 7 subject decks, each shown in full on its subject page.
- 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
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.
How many chapters and topics are in the FINRA Series 7 / SIE Exams syllabus?
25 chapters and 77 topics, broken down further into 187 sub-topics, across 7 subjects. SIE: Securities Products and Their Characteristics is the largest subject, with 13 topics in 4 chapters.
Are there FINRA Series 7 / SIE Exams flashcards?
Yes — 357 question-and-answer flashcards in 7 subject decks. Each deck is printed in full on its subject page here, and the same cards are in the Examius app with spaced repetition. The free plan covers one exam of your choice, including its flashcards; Examius Pro, a one-time purchase, unlocks every other exam and deck.
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