SIE — Securities Industry Essentials Exam

The Solomon SIE Study Guide, written in clear easy-to-understand language, contains the information you need to know to pass your exam. Comprehensive and continually updated, the Solomon SIE Study Guide has helped thousands pass their exam. The Study Guide contains charts, graphs and practice questions, as well as a glossary of key terms.

The Study Guide is available in your online Solomon account (this digital guide requires Internet connection and is not downloadable).

To see a sample of the online Study Guide, click here. 

If you'd like a physical book, a hard copy upgrade is available (shipping & handling will apply) that contains the same content as the online version in your Solomon account.

To see a sample of the hard copy Study Guide, click here. 

Please note: This sample of the hard copy is in PDF form to show the look of the hard copy only, but Solomon Study Guides are not available as PDFs.

Designed to work with the Solomon SIE Study Guide, the Solomon SIE Exam Simulator offers thousands of practice questions so you can hone, track and assess your knowledge. Once you’ve read the Study Guide, the Exam Simulator allows you to use and practice what you’ve learned.

The 180-day subscription to the Solomon SIE Exam Simulator offers:

• Over 3400 original SIE practice questions with robust rationales which clearly explain why a specific answer is correct.

• Questions updated continually to keep up with regulatory and industry changes

• Self-assessment tools that helps you identify areas that require more study.

• Pass Probability™ technology calculates the probability that you will pass your test.  

• An unlimited number of 10-question quizzes based on SIE exam topics

• An unlimited number of 85-question untimed practice exams with immediate answer feedback

• An unlimited number of 85-question timed practice exams

Exam simulator subscriptions are limited to one individual.

The Solomon SIE Video Lecture highlights the most important and heavily-tested exam topics. Join Solomon Exam Prep professors as they review the need-to-know information in this clear, easy-to-understand, training course. This 6-hour recorded course walks you through the most critical SIE concepts.

Lectures are peppered with practice questions to help you use what you are learning.

The SIE Video Lecture is available through the Solomon website and can be accessed via computer or mobile device. Video lecture subscriptions are for 180 days.

If you like to listen, the Solomon SIE Audiobook offers you the perfect way to study for your exam while you’re commuting, working out or doing the dishes! The Solomon SIE Audiobook is a 12-hour audio recording of the Solomon SIE Study Guide. The guide is written in clear easy-to-understand language and contains the information you need to know to pass your exam.

The Solomon SIE Audiobook is a verbatim reading of the Solomon SIE Study Guide, "The Solomon Exam Prep Guide to the Securities Industry Essentials—2nd Edition."

The Solomon SIE Audiobook is a great companion to the SIE Online Exam Simulator, the online testing application that helps you assess how well you are learning and retaining the information. 

  Available in the following formats:

• Streaming Audio + Instant MP3 download

MP3 files are compatible with all major MP3 players, including but not limited to: iPods, iTunes, Zune, Sony, MP3 CD Players, MP3 Walkman, Windows Media Player and QuickTime.

(Note for iPod, iPhone, and iPad users: MP3 files must be downloaded to a computer and added to iTunes before being transferred to your device.)

To listen to a sample click  here.

Learn key definitions and concepts on the FINRA Securities Industry Essentials (SIE) exam with Solomon Exam Prep SIE exam digital flashcards! The perfect supplement to our industry-leading SIE study materials, the Solomon SIE flashcard pack will help you learn foundational securities industry definitions and concepts with ease.

• Over 600 definition cards featuring clear, easy-to-understand definitions
• Over 1300 true-false cards that feature important SIE exam facts
• All cards can be organized by chapter, so you can test yourself, as you move through the Solomon study materials
• Rating feature allows user to customize deck for targeted learning
• Turn on text-to-speech and listen while you learn
• Available on Solomon Exam Prep apps for on-the-go learning

The Solomon SIE Live Web Class covers these important exam topics:

• Common Stock
• Preferred Stock, Warrants, Rights and ADRs
• Bonds and Yields
• Types of Bonds
• Treasury Securities, ABS, CMOs, and Munis
• Mutual Funds and Other Investment Companies
• Life Insurance Products and Municipal Fund Securities
• Options
• Options, Partnerships, Hedge Funds, and Private Placements
• Risks
• Customer Disclosures & Taxation
• Underwriting, Issuing, and Registering Securities
• Exemptions from Registration & Types of Broker-Dealers
• Markets, Financial Institutions, and Clearance & Settlement
• Economic Factors and Business Cycles
• Tools of Government Policy and International Factors
• Opening an Account & Types of Accounts
• Cash and Margin Accounts
• Order Processing
• Handling Corporate Actions, Account Compliance, and SIPC Rules
• Prohibited Activities and Trading Rules
• FINRA Conduct Rules
• FINRA Membership
• FINRA Conduct Rules