Back to SIE Exam

SIE Exam · Trading, Accounts & Prohibited Activities

Prohibited Practices

> Exam Format (as of October 27, 2025): 80 total questions (75 scored + 5 unscored pretest), 1 hour 45 minutes. Passing score: 70% (53/75). No sponsoring firm required — open enrollment. Content areas: Capital Markets (16%), Regulatory Entities (7%), Products (44%), Prohibited Practices (33%).

---

Keep reading: Prohibited Practices

Unlock the full SIE Exam course — every lesson, the AI tutor, and full mock exams.

  • Full lesson content
  • AI tutor for this section
  • Practice questions