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所在平台: Udemy |
课程主页: https://www.udemy.com/course/security-industry-essentials-sie-exam-prep-202526-for-all/
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## 证券行业基础（SIE）考试备考 2025/26 本课程为 Coursera 上的 Security Industry Essentials (SIE) Exam Prep 2025/26 for ALL 课程的中文内容摘要。 **课程介绍：** 证券行业基础（SIE）考试（SIE Exam 2025/26）是由 FINRA（金融业监管局）为证券行业准入人员设立的入门级考试。该考试旨在评估考生对证券行业基础知识的掌握程度，包括： * **基础概念：** 了解在行业内工作所需的基本概念。 * **产品及其风险：** 掌握各类证券产品的类型及其潜在风险。 * **行业结构和市场：** 熟悉证券行业的结构、市场运作以及监管机构及其职能。 * **禁止性行为：** 了解行业内的禁止性交易行为。 **考试内容大纲（各部分占比）：** * **资本市场知识：** 16% * **了解产品及其风险：** 44% * **了解交易、客户账户和禁止性行为：** 31% * **监管框架概述：** 9% **总计：** 100% **考试形式：** * **题目数量：** 75 题 * **题型：** 选择题 * **时长：** 1 小时 45 分钟 * **合格分数：** 70% * **考试费用：** $80 **通过 SIE 考试后的要求：** 通过 SIE 考试本身并不能使个人获得 FINRA 会员公司的注册资格或从事证券业务。要获得从事证券业务的注册资格，个人必须通过 SIE 考试以及适合其将从事业务类型的资格考试。考生必须隶属于一家会员公司才能参加资格考试。 **课程大纲：** 本课程提供考试内容的详细讲解，但没有单独列出课程大纲。 **目标受众：** 所有希望进入证券行业的人员。
Security Industry Essentials (SIE) Exam 2025/26(SIE) Exam 2025/26 is a FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate's knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.Exam Content OutlineThe Securities Industry Essentials (SIE) Exam Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four sections. The table below lists the allocation of exam weight for each section.(1) Knowledge of Capital Markets 16%(2) Understanding Products and Their Risks 44%(3) Understanding Trading, Customer Accounts and Prohibited Activities 31%(4) Overview of Regulatory Framework 9%TOTAL 100%Exam formatNumber of Questions: 75Format: Multiple ChoiceDuration: 1 hour and 45 minutesPassing Score: 70Cost: $80After You Pass the SIEPassing the SIE alone does not qualify an individual for registration with a FINRA member firm or to engage in securities business. In order to become registered to engage in securities business, an individual must pass the Essentials exam and a qualification exam appropriate for the type of business the individual will engage in. The individual must be associated with a member firm to take a qualification exam.
