This is the first section of FINRA’s SIE study guide. The Securities Industry Essential Exam consists of 12 questions from the Knowledge of Capital Markets, which has a 16% weightage on the exam.
This section covers the foundations of the financial industry. You’ll learn about regulatory entities, market structure, securities offerings, and economic factors that impact the market.
You must understand regulatory bodies, economic market types, and factors that affect these markets to qualify for the SIE exam.
We have divided the Knowledge of Capital Market section into five sub-topics to simplify your preparation.