Free SIE Flashcards 2025 - Over 700 cards to cut study time

Hello there, dear reader!

Welcome to Career Employer.

If you are preparing for the securities industry essential exam, you need SIE flashcards in your study arsenal.

In this article, you’ll learn about the SIE flashcards, the strategies you need to employ to get the most out of the cards, and the importance of using them.

We’ll give you over 700 free SIE flashcards to use for your SIE exam preparation.

Here is an outline of what we’ll discuss:

How to use our SIE flashcards
The strategies for getting the most of the SIE flashcards
How to use flashcards with other study materials
The benefits of spaced repetition flashcards

Let’s get started right away.

Other free SIE study materials:

Table of Contents

Knowledge of Capital Markets

Knowledge of capital markets deck 1

Knowledge of capital markets deck 2

Knowledge of capital markets deck 3

Understanding Products and Their Risks

Understanding Products and Their Risks deck 1

Understanding Products and Their Risks deck 2

Understanding Products and Their Risks deck 3

Understanding Products and Their Risks deck 4

Understanding Products and Their Risks deck 5

Mutual Fund Prospectus

Includes:
-fund's objective
-investment policies
-sales charges
-management expenses
-services offered
-1- 5- 10- yr performance history or perf over the life of the fund (whichever is shorter)
* 8 yr existence - show 1,5,8 OR 4 yr existence - show 1,4

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Understanding Trading, Customer Accounts, and Prohibited Activities

Understanding Trading, Customer Accounts, and Prohibited Activities deck 1

Understanding Trading, Customer Accounts, and Prohibited Activities deck 2

Settlement date

is the date on which ownership actually changes between the buyer and seller. It is the date on which broker-dealers are required to exchange the securities and funds involved in a transaction and customers are requested to pay for securities bought and to deliver securities sold.

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Understanding Trading, Customer Accounts, and Prohibited Activities deck 3

Understanding Trading, Customer Accounts, and Prohibited Activities deck 4

Three Stages of Money Laundering

1. Placement—This first stage of laundering is when funds or assets are moved into the laun- dering system. This stage is recognized as the time when illegal funds are the most suscep- tible to detection.
2. Layering—The goal of money launderers during this stage is to conceal the source of the funds or assets. This is done through a series of layers of transactions that are generally numerous and can vary in form and complexity.
3. Integration—In the final stage, illegal funds are commingled with legitimate funds in what appear to be viable legitimate business concerns. This can be accomplished using front companies operating on a cash basis, import and export companies, and many other types of businesses.

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Understanding Trading, Customer Accounts, and Prohibited Activities deck 5

Freeriding

Freeriding is a term used when securities are purchased and then sold before making pay- ment for the purchase. Freeriding is generally prohibited in both cash and margin accounts.
As a penalty, the account will be frozen for 90 days and no new transactions can occur unless there is cash or marginable securities in the account before the purchase is made.

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Overview of Regulatory Framework

Overview of Regulatory Framework deck 1

Passive investments do not fall under the definition of an outside business activity. Which of the following investments would be considered a passive investment?

limited partnership unit
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A passive investment, such as the purchase of a limited partnership unit, is not considered an outside business activity. An associated person may make a passive investment for his own account without providing written notice to the employing broker-dealer.

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Overview of Regulatory Framework deck 2

Mary Alice McVey, a registered representative with a FINRA member broker-dealer, has recently remodeled her home and now has an area with a private entrance that she would like to use instead of commuting each day to her office 20 miles away. Under FINRA rules

this would be permitted with FINRA's approval
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FINRA rules provide for the ability of registered representatives to operate out of their residence in what is known as a home office. Approval from FINRA is required and the same rules that apply to any branch office would apply here.

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How to Use Our SIE Flashcards

FINRA SIE exam consists of 75 multiple-choice questions.

These exam questions come in any order.

Therefore, shuffle the cards so they can come in a different order every time you use them.

Shuffling flashcards makes you more productive.

There’s also the star function that allows you to star cards, which you can return to later.

Additionally, you can use the cards as they are or switch them from front to back.

Lastly, you can switch to the previous card.

All these functions allow you to maximize the flashcards and retain as much information as possible.

Strategies for Getting the Most of the SIE Flashcards

Using flashcards is the best study technique to prepare for the SIE exam.

You can remember SIE study materials easily using flashcards.

Retaining information using flashcards is easier because it uses active learning, spaced repetition, and timing.

Spaced repetition is where information is repeated over time.

Learners take time to reflect on the information learned before going through it again.

This repetition allows you to recall more information over time.

Using SIE flashcards stimulates memory.

Learners engage in active learning as they must recall the response to each prompt.

So, how can you get the most out of SIE flashcards?

Don’t Memorize, Learn

When using flashcards, you’ll be tempted to memorize.

Don’t fall for it.

Check the prompt on the flashcard and try to explain what is on the back out loud.

Flip the card to see if what you’ve explained matches the information on the back.

If your response is correct, good work.

If not, revisit that card later.

The next thing would be to think about the question critically and look into related information to broaden your scope.

You can set aside the cards you’ve mastered and add them once you’ve learned the whole stack.

Study in Short Bursts

Instead of having a long study time, break your SIE exam flashcard review into short sessions.

Ideally, taking 30 minutes or less is a perfect balance.

Short study time boosts retention over long periods.

You can fish your SIE flashcards whenever you have time, not necessarily during your SIE test preparation time.

If you are using digital flashcards, even better, you can make the most out of them.

Since you have your phone with you all the time, you can review the SIE flashcards at any time.

You can decide to review a specific number of cards at any given time, say ten.

This way, you can focus on the small chunks without feeling the pressure to go through the whole deck in a short time.

You can have three study sessions daily to review the SIE exam flashcards.

Shuffle the Cards

FINRA SIE exam consists of 75 multiple-choice questions.

These exam questions come in any order.

You risk forgetting concepts in the exam when there are not in the same order you studied them in the flashcards.

So, shuffle the cards when you want to use them.

If you are using the digital SIE exam flashcard, they’ll automatically reshuffle with each review.

Shuffling the flashcards makes you more productive.

Engage Yourself

Going through the flashcard mindlessly will not bear fruit.

So, don’t let yourself zone out.

Develop strategies that help you stay focused throughout your SIE test prep.

You can resort to reading the flashcards out loud.

Another strategy is to integrate activities during your study.

You can walk around the house or your block when going through the cards.

You can even do squats.

The idea is to break the boredom and make your studies interesting.

You can also reward yourself when you’ve answered all the prompts correctly.

How to Use Flashcards With Other Study Materials

SIE exam flashcards give the best results if you use them in collaboration with other study materials.

Other study tools like mind maps, practice exams, quizzes, study guides, study textbooks, and prep courses go hand in hand with SIE exam flashcards.

With these tools combined, you can prepare and pass the FINRA exam.

So, how do you use the study materials together for the best results?

Mind maps organize information in a hierarchy, illustrating the key ideas and details of a topic.

Mind maps demonstrate information visually, making it easier to internalize concepts.

So, use mind maps to illustrate challenging concepts in the flashcards.

Next, use quizzes.

Quizzes, just like cards, test your knowledge at a deeper level.

You also get a deeper idea of the SIE material.

Further, it boosts your understanding.

Apart from quizzes, practice questions are a great way to put your knowledge to the test.

Taking a full practice exam engages your critical analysis skills.

It also triggers your memory to go to work.

Test-takers who use these study tools together make the most of the SIE flashcards.

The Benefits of Spaced Repetition Flashcards

Flashcards use one of the most effective memorization techniques, spaced repetition.

Since the securities industry essentials content outline encompasses a wide range of topics, this technique helps you master the challenging concepts.

So, how does spaced repetition work?

Go through all the cards several times to remember most of the information.

From there, forget them for a day.

Go through them again and set them aside for three days.

You’ll increase the intervals between the studies as you go.

You’ll find that as the intervals get longer, you’ll put more effort into refreshing your memory.

But with each repetition, your memory is strengthened.

Now, how you space the repetitions depends on how fast you understand the concepts.

You may decide to review the challenging concepts more often than you do the ones you’ve already mastered.

Seeing the same information multiple times over time strengthens your brain’s ability to recall information.

Secondly, spaced repetition triggers active learning.

With every card you pick, you have to remember the answer to the prompt before you flip it over to confirm.

When you are constantly looking for answers, you are actively learning.

This improves your memory, as you need to recall concepts with every card.

Again, once you flip the card, you’ll compare the answer with what you had in mind to determine if you got it right.

If you are incorrect, your mind will go through the process of amending the inaccurate information, which further helps you learn.

Once you have a schedule on how often you’ll go through the cards, your brain can predict when you’ll review the cards next.

That means it will be prepared to respond with greater alertness.

Conclusion

The Financial Industry Regulatory Authority’s SIE exam is part of the qualification exams you need to pass to jumpstart your career in the financial service industry.

You need to leverage all the study tools available to pass this exam.

SIE exam flashcards are the best way to recall the SIE material.

This study tool combines repetition, active learning, and reflection.

Paper flashcards are the best, but you’ll also find digital flashcards equally great as you can learn loads of information from wherever you are.

You can also make flashcards yourself, which will better reinforce the information you are trying to memorize.

Flashcards are perfect for topics that are challenging and definitions.

Even better, combine these tools with other study materials like practice tests, study guides, mnemonics, and quizzes.

FAQs

What is the best way to study for the SIE?

– Dedicate study time.
The study time depends on your prior knowledge of finance, accounting, or economics.
– Use the right study materials
The materials you use will determine your success level
– Use practice exams
Most SIE exam prep courses come with practice exams. Make the most of them.

What are the topics of the SIE?

The SIE exam is broken down into four sections. Each section has several topics.
– Knowledge of Capital Markets
– Understanding Products (equity securities, investment trusts, direct participation programs, real estate, and treasury securities) and Their Risks
– Understanding Trading, Customer Accounts, and Prohibited Activities
– Overview of Regulatory Framework

What is the SIE test?

The securities industry essentials is an entry-level exam that introduces exam takers to the security industry. The exam content cover regulated and prohibited practices, industry terminologies, regulatory agencies and their functions, and the security and function of the markets. This is the foundational knowledge for other SIE qualification exams.

How much does the SIE cost?

The security industry essentials cost $80. The qualification requirement for the exam includes 18 years and a valid photo ID. The SIE exam is taken at the Prometric test center. You can also take the exam online.

How many questions are on the SIE?

The SIE exam comprises 85 multiple-choice questions. Of the 85 questions, 75 are scored, and 10 are not. The questions take 1 hour and 45 minutes to complete. To pass the exam, you must score 70%. You must answer 53 of the 75 questions correctly to pass.

How long does the SIE take to study?

To adequately prepare for the SIE exam, you’ll need two months. You’ll dedicate around 20-50 hours to your studies. The amount of time varies depending on your experience and qualifications. If you commit more time, you’ll complete the studies in a shorter period.

What is the pass rate for the SIE exam?

The overall pass rate for the SIE exam is 82%. For first-time test takers, the pass rate is 74%. With a pass mark of 70%, you must spend enough time reviewing the course materials. Once you’ve registered for the exam, you have 120 days to take the exam.

Is the SIE hard to pass?

SIE is not hard to pass. If you dedicate time and use the right study materials, you can cover the SIE material and adequately prepare for the exam. You can leverage study tools such as flashcards, practice exams, and quizzes to prepare for the exam thoroughly.

How many times can you take SIE?

You can take the SIE exam as many times as possible. After the first failed attempt, you’ll have to wait 30 days to take the exam. For the second failed attempt, you’ll wait for 30 days. The third and the subsequent failed attempts require 180 waiting days.

Should I take the SIE or Series 7 first?

The SIE exam is a requirement for series 6 or 7 exams. Once you’ve passed the securities industry essentials, you have four years to take the top-off exams. Series 7 exam is more difficult than SIE, and its content also goes deeper.

Can you take the SIE exam online?

You can take the SIE exam in a test center or online. If you want to take the exam, you must complete and submit the FINRA Online Exam Administration Request Form. After filling out the form, you can schedule the SIE exam online.

Is there math on the SIE?

The securities industry essentials exam is a reading comprehension exercise. There are few math computations in the exam. You need to understand the formulas and how to apply them. But generally, the SIE exam tests your understanding of finance language.

Who needs to take SIE?

The SIE exam is open to everyone who is 18 years and above, i.e., students and individuals who want to transition into the financial service industry. You don’t need sponsorship or association with a FINRA member firm. The exam result is eligible for four years.

References

Kaplan Financial Education

How to Study

Central Penn College

University of Southern Maine