SIE EXAM got a 66%

Hi! Everyone! I failed the SIE for the first attempt. I used AD banker form my workplace provided and I just brought Achievable after taking the SIE exam today before 4 days in my exam date.

I love Achievable that can give me clear direction and don’t confuse me always.
I think keep it simple, deeply understand the definition and what are the similarities and differentiates in each term are critical. Basis math is enough for the exam. I felt like the questions on the exam were simple, but the answer is very confused me. I suggested reading the question 3 times deeply, then come up the answer from your brain first before choosing the answer is better.

One of My breakdown form result is : Section 4: Overview of Regulatory Framework (very low Performance)

May I ask that Any advice on what specific area is in section 4 to read ? Also, does it have any practice test that related to one section that can I can practice more?

Thank you so much for this very intelligent and thoughtful studying material. It made studying life more enjoyable and achievable.


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Hi Elsa, thanks for posting! I’m glad that you’re finding Achievable to be a good fit for you.

The FINRA sections are very broad - they tend to cover topics holistically across chapters so it’s different to map them just to specific pages in our online textbook. Instead, I would suggest that you start by taking a full practice test, which will give you a more detailed chapter-by-chapter breakdown.

Here’s a sample from when I was studying for the SIE - I had a good overall understanding of the material but needed to re-read the chapter on Brokerage Accounts!

Feel free to reach out anytime~~

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Hi Elsa,

@Justin made some great points. FINRA’s outline is pretty broad and there’s a fair amount of overlap between the sections. Regardless, the unit of ours that covers the most material in Section 4 is Rules and ethics (the last unit). If you want to be sharp on this section of the exam, I would re-read this unit, take notes, do practice quizzes, etc.

Be sure to keep an eye on the “big picture” though and follow @Justin’s advice. Section 4 of the SIE exam is only 7 questions (9% of the exam). “Very low performance” could mean you answered as few as 3 or 4 questions incorrectly, which isn’t a big deal in the long run. With 70% as your passing mark, you can miss roughly 22 questions and still pass!


Agreed. Justin and Brandon! Thanks for the valuable advice. You are the best.

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