SIE Final Review and Test-Day Plan
High-yield facts, formulas, and strategy for the last week before your SIE exam.
Keyboard Shortcuts
💡 Pro tip: Use keyboard shortcuts for faster studying!
Study Smart Tips for SIE Final Review and Test-Day Plan
Master these concepts using proven study techniques that actually work:
Active Recall
Test yourself before flipping each card to strengthen memory retention
Spaced Repetition
Review difficult cards more frequently than easy ones
Multiple Sessions
Break study time into shorter, focused sessions
Explain Aloud
Verbalize answers to reinforce understanding
Questions Covered in This Set
12 cards to master
Guiding principle for the final week of SIE prep
Retrieval and consolidation, not acquisition — firm up what you half-know instead of learning new material.
SIE exam section weightings
Capital Markets ~16% (12 Qs), Products & Risks ~44% (33 Qs), Trading/Accounts/Prohibited Activities ~31% (23 Qs), Regulatory Framework ~9% (7 Qs).
Exam length and time per question
75 scored + 10 unscored questions in 105 minutes ≈ 74 seconds per question.
Three-pass pacing rhythm
Answer what you know in under 45 seconds; flag and move on anything past ~75 seconds; return with remaining time — never leave a blank.
Current Yield formula
Annual Coupon ÷ Market Price
Tax-Equivalent Yield formula
Muni Yield ÷ (1 − Marginal Tax Rate)
Long call max loss, max gain, breakeven
Max loss = premium; max gain = unlimited; BE = strike + premium.
POP and sales charge formulas
POP = NAV ÷ (1 − Sales Charge %); Sales Charge % = (POP − NAV) ÷ POP.
Reg T and FINRA maintenance margin
Reg T initial margin = 50%; FINRA maintenance on long positions = 25%.
SIPC coverage limits
$500,000 total per customer, of which a maximum of $250,000 may be cash.
Day-before-exam plan
Two hours max: skim the formula sheet and starred error-log items, then stop — sleep consolidates memory.
Fast anxiety-control breathing technique
4-second inhale, 6-second exhale, repeated four times, to measurably lower arousal.
