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.



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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