FINRA SIE Study report
AL MAMOON (mamoonloudoun@gmail.com)
Study time breakdown
Study progress
Study plan
Target date: Saturday, March 7th
Passed
Saturday, Mar 7th
Exam day! You've got this :-)
Summaries
Quiz summary
Scores based on questions completed in the past 7 days
Exam summary
Scores based on questions completed in the past 7 days
Practice exams list
name | status | completed | time spent | score | summary | config | activity |
|---|---|---|---|---|---|---|---|
SIE full exam | pass | 3-10-2026 1:28am | 88% 93/105m | 80%, 60/75 | - | - | |
SIE full exam | warn | 3-9-2026 1:10am | 72% 75/105m | 71%, 53/75 | - | ||
SIE full exam | warn | 3-7-2026 12:17am | 83% 87/105m | 72%, 54/75 | - | - | |
SIE full exam | pass | 3-6-2026 4:37am | 91% 95/105m | 80%, 60/75 | - | - | |
SIE full exam | warn | 3-6-2026 1:07am | 93% 98/105m | 71%, 53/75 | - | ||
SIE full exam | fail | 3-5-2026 3:40am | 79% 83/105m | 65%, 49/75 | - | - | |
SIE full exam | fail | 3-4-2026 6:55am | 73% 76/105m | 67%, 50/75 | - | - | |
SIE full exam | pass | 3-3-2026 6:09am | 67% 71/105m | 77%, 58/75 | - | - | |
SIE full exam | pass | 3-3-2026 12:40am | 96% 100/105m | 84%, 63/75 | - | - | |
SIE full exam | warn | 3-2-2026 4:56am | 81% 85/105m | 71%, 53/75 | - | - | |
SIE full exam | warn | 3-2-2026 12:38am | 98% 103/105m | 75%, 56/75 | - | ||
SIE full exam | warn | 3-1-2026 6:15am | 82% 86/105m | 72%, 54/75 | - | ||
SIE full exam | pass | 3-1-2026 2:39am | 84% 88/105m | 76%, 57/75 | - | ||
Brokerage accounts | pass | 2-28-2026 5:00am | 341% 102/30m | 80%, 16/20 | - | ||
The primary market | pass | 2-28-2026 3:13am | 100% 30/30m | 95%, 19/20 | - | - | |
Rules and ethics | warn | 2-28-2026 2:34am | 60% 18/30m | 75%, 15/20 | - | - | |
Bond fundamentals | pass | 2-28-2026 1:05am | 100% 30/30m | 80%, 16/20 | - | ||
Common stock | pass | 2-28-2026 12:12am | 93% 28/30m | 85%, 17/20 | - | - | |
SIE full exam | warn | 2-27-2026 12:44am | 99% 104/105m | 71%, 53/75 | - | ||
SIE full exam | fail | 2-23-2026 11:54pm | 81% 85/105m | 69%, 52/75 | - | ||
SIE full exam | fail | 2-23-2026 4:13pm | 93% 97/105m | 65%, 49/75 | - | ||
SIE full exam | warn | 2-23-2026 1:13am | 98% 103/105m | 75%, 56/75 | |||
SIE full exam | warn | 2-22-2026 5:38pm | 96% 100/105m | 75%, 56/75 | |||
Final exam B | pass | 2-22-2026 4:35am | 61% 64/105m | 91%, 68/75 | |||
SIE full exam | pass | 2-22-2026 12:06am | 85% 89/105m | 76%, 57/75 | |||
Final exam B | fail | 2-20-2026 11:43pm | 91% 96/105m | 64%, 48/75 | |||
Preferred stock | warn | 2-20-2026 2:34am | 98% 29/30m | 70%, 14/20 | - | ||
Common stock | warn | 2-20-2026 1:31am | 108% 32/30m | 70%, 14/20 | |||
Options | fail | 2-19-2026 2:11am | 82438% 24731/30m | 55%, 11/20 | |||
Chapters 9 to 11 | fail | 2-18-2026 11:31pm | 112% 67/60m | 53%, 21/40 | |||
Final exam A | fail | 2-18-2026 1:36am | 3396% 3566/105m | 61%, 46/75 | |||
Retirement and education plans | pass | 2-12-2026 8:39pm | 86% 26/30m | 80%, 16/20 | - | ||
Rules and ethics | pass | 2-12-2026 7:45pm | 77% 23/30m | 90%, 18/20 | |||
Brokerage accounts | pass | 2-8-2026 1:46am | 53% 16/30m | 95%, 19/20 | - | ||
The secondary market | pass | 2-4-2026 7:18pm | 84% 25/30m | 90%, 18/20 | |||
Options | fail | 2-1-2026 10:59pm | 165% 50/30m | 65%, 13/20 | - | ||
Taxes | warn | 2-1-2026 7:21pm | 73% 22/30m | 75%, 15/20 | - | ||
The primary market | pass | 2-1-2026 6:44pm | 46% 14/30m | 100%, 20/20 | - | ||
Chapters 5 to 8 | pass | 1-25-2026 2:49pm | 45% 27/60m | 90%, 36/40 | |||
Chapters 5 to 8 | pass | 1-25-2026 2:14pm | 122% 73/60m | 78%, 31/40 | |||
Investment companies | pass | 1-25-2026 1:15am | 101% 30/30m | 85%, 17/20 | |||
Alternative pooled investments | pass | 1-24-2026 7:50pm | 267% 80/30m | 90%, 18/20 | |||
Alternative pooled investments | pass | 1-24-2026 7:37pm | 42% 12/30m | 100%, 20/20 | |||
US government debt | pass | 1-19-2026 12:46am | 5275% 1583/30m | 90%, 18/20 | - | ||
Municipal debt | warn | 1-17-2026 10:41pm | 49% 15/30m | 70%, 14/20 | - | ||
Corporate debt | pass | 1-16-2026 1:42am | 90% 27/30m | 85%, 17/20 | - | ||
Bond fundamentals | pass | 1-15-2026 8:20pm | 135% 40/30m | 80%, 16/20 | |||
Final exam A | - | Incomplete | - | - | - | - | |
Chapters 12 to 15 | - | Incomplete | - | - | - | - |
SIE full exam
Status
pass
Completed
3-10-2026 1:28am
Time spent
88%
93/105mScore
80%, 60/75
Summary
Config
Activity
SIE full exam
Status
warn
Completed
3-9-2026 1:10am
Time spent
72%
75/105mScore
71%, 53/75
Summary
Config
Activity
SIE full exam
Status
warn
Completed
3-7-2026 12:17am
Time spent
83%
87/105mScore
72%, 54/75
Summary
Config
Activity
SIE full exam
Status
pass
Completed
3-6-2026 4:37am
Time spent
91%
95/105mScore
80%, 60/75
Summary
Config
Activity
SIE full exam
Status
warn
Completed
3-6-2026 1:07am
Time spent
93%
98/105mScore
71%, 53/75
Summary
Config
Activity
SIE full exam
Status
fail
Completed
3-5-2026 3:40am
Time spent
79%
83/105mScore
65%, 49/75
Summary
Config
Activity
SIE full exam
Status
fail
Completed
3-4-2026 6:55am
Time spent
73%
76/105mScore
67%, 50/75
Summary
Config
Activity
SIE full exam
Status
pass
Completed
3-3-2026 6:09am
Time spent
67%
71/105mScore
77%, 58/75
Summary
Config
Activity
SIE full exam
Status
pass
Completed
3-3-2026 12:40am
Time spent
96%
100/105mScore
84%, 63/75
Summary
Config
Activity
SIE full exam
Status
warn
Completed
3-2-2026 4:56am
Time spent
81%
85/105mScore
71%, 53/75
Summary
Config
Activity
SIE full exam
Status
warn
Completed
3-2-2026 12:38am
Time spent
98%
103/105mScore
75%, 56/75
Summary
Config
Activity
SIE full exam
Status
warn
Completed
3-1-2026 6:15am
Time spent
82%
86/105mScore
72%, 54/75
Summary
Config
Activity
SIE full exam
Status
pass
Completed
3-1-2026 2:39am
Time spent
84%
88/105mScore
76%, 57/75
Summary
Config
Activity
Brokerage accounts
Status
pass
Completed
2-28-2026 5:00am
Time spent
341%
102/30mScore
80%, 16/20
Summary
Config
Activity
The primary market
Status
pass
Completed
2-28-2026 3:13am
Time spent
100%
30/30mScore
95%, 19/20
Summary
Config
Activity
Rules and ethics
Status
warn
Completed
2-28-2026 2:34am
Time spent
60%
18/30mScore
75%, 15/20
Summary
Config
Activity
Bond fundamentals
Status
pass
Completed
2-28-2026 1:05am
Time spent
100%
30/30mScore
80%, 16/20
Summary
Config
Activity
Common stock
Status
pass
Completed
2-28-2026 12:12am
Time spent
93%
28/30mScore
85%, 17/20
Summary
Config
Activity
SIE full exam
Status
warn
Completed
2-27-2026 12:44am
Time spent
99%
104/105mScore
71%, 53/75
Summary
Config
Activity
SIE full exam
Status
fail
Completed
2-23-2026 11:54pm
Time spent
81%
85/105mScore
69%, 52/75
Summary
Config
Activity
SIE full exam
Status
fail
Completed
2-23-2026 4:13pm
Time spent
93%
97/105mScore
65%, 49/75
Summary
Config
Activity
SIE full exam
Status
warn
Completed
2-23-2026 1:13am
Time spent
98%
103/105mScore
75%, 56/75
Summary
Config
Activity
SIE full exam
Status
warn
Completed
2-22-2026 5:38pm
Time spent
96%
100/105mScore
75%, 56/75
Summary
Config
Activity
Final exam B
Status
pass
Completed
2-22-2026 4:35am
Time spent
61%
64/105mScore
91%, 68/75
Summary
Config
Activity
SIE full exam
Status
pass
Completed
2-22-2026 12:06am
Time spent
85%
89/105mScore
76%, 57/75
Summary
Config
Activity
Final exam B
Status
fail
Completed
2-20-2026 11:43pm
Time spent
91%
96/105mScore
64%, 48/75
Summary
Config
Activity
Preferred stock
Status
warn
Completed
2-20-2026 2:34am
Time spent
98%
29/30mScore
70%, 14/20
Summary
Config
Activity
Common stock
Status
warn
Completed
2-20-2026 1:31am
Time spent
108%
32/30mScore
70%, 14/20
Summary
Config
Activity
Options
Status
fail
Completed
2-19-2026 2:11am
Time spent
82438%
24731/30mScore
55%, 11/20
Summary
Config
Activity
Chapters 9 to 11
Status
fail
Completed
2-18-2026 11:31pm
Time spent
112%
67/60mScore
53%, 21/40
Summary
Config
Activity
Final exam A
Status
fail
Completed
2-18-2026 1:36am
Time spent
3396%
3566/105mScore
61%, 46/75
Summary
Config
Activity
Retirement and education plans
Status
pass
Completed
2-12-2026 8:39pm
Time spent
86%
26/30mScore
80%, 16/20
Summary
Config
Activity
Rules and ethics
Status
pass
Completed
2-12-2026 7:45pm
Time spent
77%
23/30mScore
90%, 18/20
Summary
Config
Activity
Brokerage accounts
Status
pass
Completed
2-8-2026 1:46am
Time spent
53%
16/30mScore
95%, 19/20
Summary
Config
Activity
The secondary market
Status
pass
Completed
2-4-2026 7:18pm
Time spent
84%
25/30mScore
90%, 18/20
Summary
Config
Activity
Options
Status
fail
Completed
2-1-2026 10:59pm
Time spent
165%
50/30mScore
65%, 13/20
Summary
Config
Activity
Taxes
Status
warn
Completed
2-1-2026 7:21pm
Time spent
73%
22/30mScore
75%, 15/20
Summary
Config
Activity
The primary market
Status
pass
Completed
2-1-2026 6:44pm
Time spent
46%
14/30mScore
100%, 20/20
Summary
Config
Activity
Chapters 5 to 8
Status
pass
Completed
1-25-2026 2:49pm
Time spent
45%
27/60mScore
90%, 36/40
Summary
Config
Activity
Chapters 5 to 8
Status
pass
Completed
1-25-2026 2:14pm
Time spent
122%
73/60mScore
78%, 31/40
Summary
Config
Activity
Investment companies
Status
pass
Completed
1-25-2026 1:15am
Time spent
101%
30/30mScore
85%, 17/20
Summary
Config
Activity
Alternative pooled investments
Status
pass
Completed
1-24-2026 7:50pm
Time spent
267%
80/30mScore
90%, 18/20
Summary
Config
Activity
Alternative pooled investments
Status
pass
Completed
1-24-2026 7:37pm
Time spent
42%
12/30mScore
100%, 20/20
Summary
Config
Activity
US government debt
Status
pass
Completed
1-19-2026 12:46am
Time spent
5275%
1583/30mScore
90%, 18/20
Summary
Config
Activity
Municipal debt
Status
warn
Completed
1-17-2026 10:41pm
Time spent
49%
15/30mScore
70%, 14/20
Summary
Config
Activity
Corporate debt
Status
pass
Completed
1-16-2026 1:42am
Time spent
90%
27/30mScore
85%, 17/20
Summary
Config
Activity
Bond fundamentals
Status
pass
Completed
1-15-2026 8:20pm
Time spent
135%
40/30mScore
80%, 16/20
Summary
Config
Activity
Final exam A
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 12 to 15
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Textbook progress
Spent
67h 45m
reading and completed150/150
pagesTimes shown as:
Observed
/ Expected
Introduction
1m 51s
/ 1m 36s
1. Common stock
1.1 Basic characteristics
31m 13s
/ 6m 18s
1.2 Rights of common stockholders
1.2.1 Pro-rata share of dividends
22m 25s
/ 4m 57s
1.2.2 Board of Directors
8m 3s
/ 3m 17s
1.2.3 Inspection of books and records
2m 52s
/ 50s
1.2.4 Maintaining proportionate ownership
1h 2m
/ 11m 31s
1.2.5 Stock splits
23m 11s
/ 6m 6s
1.2.6 Assets upon liquidation
27m 14s
/ 3m 17s
1.2.7 Transfer ownership
7m 26s
/ 1m 32s
1.3 Trading
1.3.1 Negotiable or redeemable
8m 19s
/ 1m 48s
1.3.2 The primary & secondary market
28m 15s
/ 8m 43s
1.3.3 Settlement
23m 31s
/ 5m 46s
1.3.4 Cash dividends
14m 21s
/ 6m 56s
1.3.5 Selling short
27m 51s
/ 5m 13s
1.3.6 American Depositary Receipts
12m 58s
/ 5m 38s
1.3.7 Tender offers & buybacks
20m 53s
/ 5m 57s
1.4 Suitability
31m 12s
/ 14m 20s
1.5 Fundamental analysis
25m 11s
/ 10m 20s
2. Preferred stock
2.1 Basic characteristics
1h 45m
/ 11m 33s
2.2 Features
1h 5m
/ 12m 51s
2.3 Suitability
32m 16s
/ 7m 21s
3. Debt securities
3.1 Basic characteristics
16m 18s
/ 10m 35s
3.2 Issuance & underwriting
32m 57s
/ 5m 3s
3.3 Trading
55m 3s
/ 12m 27s
3.4 Features
47m 40s
/ 6m 23s
3.5 Yield
24m 40s
/ 11m 40s
3.6 Suitability
38m 56s
/ 10m 0s
4. Corporate debt
4.1 Short-term products
17m 30s
/ 4m 19s
4.2 Long-term products
24m 3s
/ 6m 59s
4.3 Convertible products
29m 19s
/ 7m 53s
4.4 Liquidation policy
10m 14s
/ 2m 24s
4.5 The market & quotes
20m 10s
/ 5m 3s
4.6 Bank issues
10m 24s
/ 7m 8s
4.7 Eurodollars & Eurobonds
16m 22s
/ 6m 14s
5. Municipal debt
5.1 Foundations & taxation
13m 49s
/ 3m 17s
5.2 General obligation (G.O.) bonds
41m 19s
/ 11m 14s
5.3 Revenue bonds
5m 37s
/ 1m 48s
5.4 Short-term notes
22m 27s
/ 5m 0s
5.5 Trading
11m 42s
/ 3m 27s
5.6 Suitability
9m 18s
/ 2m 52s
6. US government debt
6.1 Foundations
1m 40s
/ 2m 35s
6.2 Treasury products
1h 41m
/ 9m 21s
6.3 Federal agency products
1h 1m
/ 7m 46s
6.4 The market
25m 51s
/ 7m 46s
6.5 The Federal Reserve
6.5.1 Monetary policy
23m 29s
/ 4m 23s
6.5.2 Rates
18m 10s
/ 3m 39s
6.5.3 Tools of the Federal Reserve
43m 15s
/ 5m 11s
6.5.4 Economic factors
1h 21m
/ 15m 19s
6.5.5 Fiscal policy
32m 2s
/ 5m 51s
7. Investment companies
7.1 Foundations
11m 5s
/ 2m 47s
7.2 Types of funds
1h 2m
/ 12m 41s
7.3 Open-end management companies
7.3.1 Characteristics
35m 39s
/ 12m 39s
7.3.2 Shareholder rights
19m 33s
/ 9m 14s
7.3.3 Transactions
27m 20s
/ 11m 7s
7.3.4 Returns
11m 35s
/ 5m 6s
7.3.5 Share classes
25m 28s
/ 11m 31s
7.3.6 Subchapter M
11m 28s
/ 1m 55s
7.4 Closed-end management companies
10m 57s
/ 4m 16s
7.5 Exchange traded products
7.5.1 Passive ETFs
13m 30s
/ 6m 8s
7.5.2 Other ETFs
32m 22s
/ 4m 51s
7.5.3 Exchange traded notes
14m 32s
/ 2m 36s
7.6 Unit investment trusts
13m 40s
/ 4m 2s
7.7 Alpha and beta
6m 27s
/ 5m 54s
8. Alternative pooled investments
8.1 Real estate investment trusts (REITs)
19m 57s
/ 5m 19s
8.2 Hedge funds
16m 52s
/ 3m 10s
8.3 Direct participation programs
57m 20s
/ 6m 34s
9. Options
9.1 Fundamentals
42m 47s
/ 9m 12s
9.2 Contracts and the market
9.2.1 Issuance & the market
41m 37s
/ 7m 24s
9.2.2 Options contracts
1h 42m
/ 9m 5s
9.2.3 Premiums & exercise
33m 41s
/ 8m 54s
9.2.4 Stock split & dividend adjustments
29m 28s
/ 8m 18s
9.3 Strategies
9.3.1 Long calls
48m 55s
/ 5m 8s
9.3.2 Short calls
17m 35s
/ 6m 12s
9.3.3 Long puts
12m 28s
/ 5m 41s
9.3.4 Short puts
11m 35s
/ 8m 16s
9.3.5 Hedging strategies
28m 32s
/ 8m 14s
9.3.6 Income strategies
25m 29s
/ 9m 12s
9.3.7 Index options
39m 38s
/ 7m 53s
10. Taxes
10.1 Dividends
41m 43s
/ 6m 18s
10.2 Interest
3m 58s
/ 2m 5s
10.3 Capital gains
8m 22s
/ 4m 4s
10.4 Types of income
1m 35s
/ 2m 3s
11. The primary market
11.1 Roles
17m 0s
/ 3m 12s
11.2 Underwriting commitments
6m 2s
/ 2m 45s
11.3 Types of offerings
11m 35s
/ 3m 50s
11.4 The IPO process
11.4.1 Overview
2m 34s
/ 1m 2s
11.4.2 Preparing for the sale
17m 33s
/ 4m 50s
11.4.3 Effective registration
14m 40s
/ 4m 7s
11.4.4 Exemptions
52m 58s
/ 12m 36s
11.5 Rule 144
27m 31s
/ 5m 6s
11.6 Other rules
15m 13s
/ 4m 18s
12. The secondary market
12.1 Agency vs. principal capacity
10m 21s
/ 2m 41s
12.2 Roles
21m 41s
/ 4m 25s
12.3 Bid & ask
15m 49s
/ 2m 39s
12.4 The markets
12.4.1 The New York Stock Exchange
10m 2s
/ 3m 24s
12.4.2 NASDAQ
4m 14s
/ 2m 7s
12.4.3 Other OTC markets
12m 44s
/ 3m 6s
12.4.4 Chicago Board Options Exchange
44s
/ 15s
12.5 The Securities Exchange Act of 1934
1h 13m
/ 5m 0s
12.6 Customer orders
12.6.1 Market orders
15m 16s
/ 1m 54s
12.6.2 Limit orders
10m 55s
/ 2m 57s
12.6.3 Stop orders
14m 40s
/ 4m 38s
12.6.4 Stop limit orders
42m 48s
/ 4m 1s
12.6.5 Summary of the order types
18m 21s
/ 3m 35s
12.6.6 Additional order specifications
2m 22s
/ 1m 28s
12.6.7 Customer order rules
4m 31s
/ 1m 36s
13. Brokerage accounts
13.1 Fundamentals
13.1.1 Statements
16m 36s
/ 1m 47s
13.1.2 Trade confirmations
4m 16s
/ 52s
13.1.3 Customer complaints
15m 19s
/ 2m 30s
13.2 New accounts
13.2.1 Required customer information
18m 20s
/ 3m 39s
13.2.2 Optional customer information
1h 27m
/ 48s
13.2.3 Account opening
8m 27s
/ 2m 35s
13.3 Account registrations
13.3.1 Individual accounts
18m 42s
/ 5m 50s
13.3.2 Joint accounts
14m 8s
/ 2m 16s
13.3.3 Power of attorney
3m 19s
/ 1m 23s
13.3.4 Discretionary accounts
16m 47s
/ 3m 9s
13.3.5 Custodial accounts
1h 13m
/ 2m 26s
13.3.6 Guardianship accounts
2m 39s
/ 57s
13.3.7 Trust accounts
6m 18s
/ 1m 55s
13.3.8 Business accounts
20m 35s
/ 1m 20s
13.3.9 Prime brokerage accounts
9m 5s
/ 1m 1s
13.4 Margin accounts
13.4.1 Overview
6m 25s
/ 1m 27s
13.4.2 Opening a margin account
18m 24s
/ 2m 51s
13.4.3 Deposit requirements
1h 42m
/ 8m 47s
13.4.4 Equity
2h 35m
/ 7m 27s
13.4.5 Minimum maintenance
45m 6s
/ 4m 48s
13.5 Options accounts
32m 38s
/ 7m 18s
13.6 Other account specifications
13.6.1 SIPC insurance
11m 35s
/ 1m 48s
13.6.2 Business continuity plans
1m 1s
/ 39s
14. Retirement & education plans
14.1 Generalities
2h 1m
/ 7m 30s
14.2 Rules
15m 41s
/ 3m 58s
14.3 Workplace plans
52m 48s
/ 9m 56s
14.4 Individual retirement accounts (IRAs)
1h 17m
/ 11m 14s
14.5 Variable life insurance
48m 14s
/ 7m 58s
14.6 Variable annuities
47m 28s
/ 15m 26s
14.7 Education & other plans
1h 33m
/ 10m 33s
15. Rules & ethics
15.1 The regulators
57m 31s
/ 13m 18s
15.2 Prohibited activities
15.2.1 Market manipulation
13m 35s
/ 3m 34s
15.2.2 Unethical activities
22m 12s
/ 5m 1s
15.2.3 Insider trading
3m 36s
/ 2m 14s
15.3 Ethical duties
15.3.1 Protecting vulnerable investors
23m 18s
/ 7m 28s
15.3.2 Recognizing illegal activities
13m 18s
/ 5m 0s
15.4 Other laws & regulations
15.4.1 Regulations
4m 37s
/ 2m 58s
15.4.2 Telephone Consumer Protection Act
4m 54s
/ 1m 58s
15.4.3 Public communications
5m 18s
/ 1m 42s
15.4.4 Proxy rules
1m 38s
/ 1m 52s
15.4.5 Licenses & CE
16m 36s
/ 6m 9s
15.4.6 Registered representative rules
13m 3s
/ 7m 17s
15.4.7 Record retention requirements
6m 16s
/ 3m 53s
Wrapping up
9m 37s
/ 6m 17s