SIE · COVERAGE & GAPS

SIE: Coverage Map & Learning Gaps

Current SIE knowledge foundations across capital markets, products and risks, trading and accounts, and regulatory framework.

A partial map, not a completion score.

Local objectives map selected concepts to the captured copyright 2025 FINRA SIE outline.200-item allocation 32/88/60/20 approximates official 16/44/31/9 percent by four-view case families. Full subtopic coverage and official form equivalence are not claimed.

Mapping describes the available practice, not your mastery or readiness for the exam. Reviewed 2026-10-27.

12Objectives in this map

12Have partial practice

0Have no mapped practice

Follow capital through markets

Partial practice

4 linked question families · 16 variants. Variants are not separate syllabus objectives.

What still needs work

Selected foundational cases; additional official subtopics, exceptions, and integrated tasks remain outside this pilot.

Follow capital through markets

Separate regulators and protections

Partial practice

4 linked question families · 16 variants. Variants are not separate syllabus objectives.

What still needs work

Selected foundational cases; additional official subtopics, exceptions, and integrated tasks remain outside this pilot.

Separate regulators and protections

Understand equity ownership

Partial practice

4 linked question families · 16 variants. Variants are not separate syllabus objectives.

What still needs work

Selected foundational cases; additional official subtopics, exceptions, and integrated tasks remain outside this pilot.

Understand equity ownership

SEC Investor.gov: Stocks

Read debt claims and risks

Partial practice

4 linked question families · 16 variants. Variants are not separate syllabus objectives.

What still needs work

Selected foundational cases; additional official subtopics, exceptions, and integrated tasks remain outside this pilot.

Read debt claims and risks

SEC Investor.gov: Bonds

Track option rights and obligations

Partial practice

5 linked question families · 20 variants. Variants are not separate syllabus objectives.

What still needs work

Selected foundational cases; additional official subtopics, exceptions, and integrated tasks remain outside this pilot.

Track option rights and obligations

FINRA investor education: Options

Compare pooled investments

Partial practice

4 linked question families · 16 variants. Variants are not separate syllabus objectives.

What still needs work

Selected foundational cases; additional official subtopics, exceptions, and integrated tasks remain outside this pilot.

Compare pooled investments

FINRA investor education: Mutual Funds FINRA investor education: Exchange-Traded Funds and Products FINRA investor education: Risk

Connect risk to the investor constraint

Partial practice

5 linked question families · 20 variants. Variants are not separate syllabus objectives.

What still needs work

Selected foundational cases; additional official subtopics, exceptions, and integrated tasks remain outside this pilot.

Connect risk to the investor constraint

FINRA investor education: Risk SEC Investor.gov: Asset Allocation and Diversification

Interpret order conditions

Partial practice

4 linked question families · 16 variants. Variants are not separate syllabus objectives.

What still needs work

Selected foundational cases; additional official subtopics, exceptions, and integrated tasks remain outside this pilot.

Interpret order conditions

SEC Investor.gov: Types of Orders

Establish account authority

Partial practice

4 linked question families · 16 variants. Variants are not separate syllabus objectives.

What still needs work

Selected foundational cases; additional official subtopics, exceptions, and integrated tasks remain outside this pilot.

Establish account authority

FINRA Rule 2090: Know Your Customer FINRA Rule 3260: Discretionary Accounts

Operate compliance controls

Partial practice

4 linked question families · 16 variants. Variants are not separate syllabus objectives.

What still needs work

Selected foundational cases; additional official subtopics, exceptions, and integrated tasks remain outside this pilot.

Operate compliance controls

FINRA Rule 3310: Anti-Money Laundering Compliance Program FinCEN advisory: Confidentiality of SAR information FINRA Rule 3110: Supervision

Keep transaction stages distinct

Partial practice

3 linked question families · 12 variants. Variants are not separate syllabus objectives.

What still needs work

Selected foundational cases; additional official subtopics, exceptions, and integrated tasks remain outside this pilot.

Keep transaction stages distinct

Understand registration and conduct boundaries

Partial practice

5 linked question families · 20 variants. Variants are not separate syllabus objectives.

What still needs work

Selected foundational cases; additional official subtopics, exceptions, and integrated tasks remain outside this pilot.

Understand registration and conduct boundaries

Use the map with care.

200 learning items represent four task views of 50 original case families, not 200 independent scenarios.
Selected knowledge foundations only; the full official outline, detailed calculations, suitability applications and product-specific exceptions are not completely covered.
This pilot includes 50 multi-select learning tasks although the official SIE uses four-choice single-answer questions.
Independent securities educator review and learner calibration remain pending; study accuracy does not predict an official scaled score.