SIE Writing Guide
Task types, scoring criteria, and strategies to excel in the writing section.
Writing Overview
The SIE is a FINRA co-requisite exam that tests fundamental securities industry concepts. It's the entry-level exam open to anyone 18+, before combining with a top-off exam (Series 7, 6, 79, etc.) to obtain a full license.
Note: SIE does not have a dedicated writing section. This guide covers general test preparation.
High-Score Strategies
- 1.Focus on the four exam sections proportionally — Knowledge of Capital Markets is the largest.
- 2.Learn the key FINRA rules by number: 2111 (suitability), 4370 (business continuity), 3110 (supervision).
- 3.Options math is commonly tested — master break-even, max gain, max loss for calls and puts.
- 4.Use Kaplan or Securities Institute of America (SIA) materials.
- 5.Take multiple full-length practice tests — 75 questions in 1h45m is fast-paced.