Exam blueprint
Read the four SIE sections as one system
Use FINRA's current weighting to allocate study time without ignoring smaller domains.
Section 1: capital markets
FINRA allocates 16%, or 12 scored items, to market structure, regulators, participants, economic factors, offerings and market types.
Section 2: products and risks
The largest section is 44%, or 33 scored items. It covers equity and debt, options, packaged products, municipal securities, alternatives and risk concepts. Give it proportionate time, but do not turn the whole plan into product flashcards.
Section 3: trading, accounts and prohibited activities
This section carries 31%, or 23 scored items. Expect order and settlement concepts, returns, account types, customer communications, AML and conduct boundaries.
Section 4: regulatory framework
The final 9%, or 7 scored items, includes registration, continuing education and employee conduct. Smaller weight does not mean optional: a compact rules review can protect several points.
Official sources
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