SIE Exam Study Guide

DMP Software LLC

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About this app

Pass the SIE by knowing what FINRA actually asks — the difference between the primary and secondary markets, which yield is highest on a discount bond, what SIPC really covers, the order types, the settlement dates, the prohibited practices — instead of rereading a textbook.

SIE Exam Study Guide is a focused, fully offline companion for the Securities Industry Essentials exam, FINRA's gateway exam for the securities industry and the prerequisite for the Series 6 and Series 7 top-offs. The app is organized exactly like the official content outline: all four weighted sections, so you can drill your weakest section or work through the whole exam.

SIX WAYS TO STUDY
• Flashcards — tap to reveal, tagged by exam section
• Multiple-choice questions set in real industry scenarios — an underwriting, a margin call, a suspicious wire — every one with a worked explanation
• True/false drills built from the misconceptions that cost marks
• Term-matching game — pair key terms in rounds of five
• Searchable glossary of the vocabulary the exam assumes you know
• Formulas & thresholds reference — the yield and options math plus the legal numbers (SIPC and FDIC limits, Reg T, the gift limit, CTR and SAR triggers, settlement dates), each with the trap to avoid

WHAT'S COVERED
• Knowledge of Capital Markets — the SEC, FINRA and the other regulators, monetary and fiscal policy, economic indicators, market structure from primary offerings to dark pools, underwritings and the exempt offerings
• Understanding Products and Their Risks — common and preferred stock, rights and warrants, ADRs, Treasuries and TIPS, corporate and municipal bonds, money-market instruments, mutual funds and ETFs, annuities, REITs, DPPs, options basics, and the full taxonomy of investment risk
• Understanding Trading, Customer Accounts and Prohibited Activities — order types, settlement, account registrations from cash to custodial, margin, suitability and Regulation BI, anti-money-laundering rules, and the prohibited practices from insider trading to churning
• Overview of the Regulatory Framework — registration and the SIE-plus-top-off structure, Forms U4 and U5, continuing education, outside business activities, gifts, communications rules, and how FINRA discipline and arbitration work

CURRENT FOR TODAY'S EXAM
Built to FINRA's current SIE content outline — four sections, 75 scored questions — including T+1 settlement and the current annual continuing-education rules.

STUDY ANYWHERE
Everything works completely offline. No account, no sign-up, no ads, and no data collection of any kind.

Start free with a preview of every section. Unlock the full library with a weekly, monthly or annual subscription, or a one-time lifetime purchase — all four unlock identical content, and duration is the only difference.

This app is an independent study aid and is not affiliated with, endorsed by, or sponsored by FINRA. SIE and Securities Industry Essentials are registered trademarks of FINRA. This app is not the exam and does not confer any registration or qualification. It provides exam study material only, not investment advice. Rules and figures change over time — always verify current requirements with FINRA.

OFFICIAL SOURCES
• FINRA — Securities Industry Essentials (SIE) Exam: https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam
• FINRA — SIE Exam Content Outline (October 2025): https://www.finra.org/sites/default/files/2025-10/SIE_Content_Outline.pdf
• SEC — Securities laws and rules: https://www.sec.gov/rules-regulations/statutes-regulations

This is not a government app: it is not affiliated with, endorsed by, or operated by any government agency or licensing board, and it does not provide licensing, registration, or any other official government service.

What’s new

First Android release.