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FINRA SIE Exam Syllabus Topics:

Topic
Details

Topic 1

Understanding Products and Their Risks: This section of the exam measures the skills of Investment Analysts and examines different financial products and associated risks. Candidates must understand equity securities, including common stock, as well as debt instruments such as Treasury securities and mortgage-backed securities.

Topic 2

Overview of the Regulatory Framework: This section of the exam measures the skills of Compliance Officers and evaluates knowledge of self-regulatory organization (SRO) requirements, including registration and continuing education for associated persons. Candidates must understand the distinction between registered and non-registered individuals and the requirements for maintaining industry qualifications.

Topic 3

Market Structure: This section of the exam measures the skills of Equity Market Specialists and covers the classification of financial markets, including the primary, secondary, third, and fourth markets. Candidates must demonstrate knowledge of electronic trading, over-the-counter (OTC) markets, and physical exchanges. One specific skill tested is differentiating between various market types and their operational mechanisms.

Topic 4

Employee Conduct and Reportable Events: This section of the exam measures the skills of Financial Compliance Specialists and covers regulatory expectations regarding employee conduct and disclosure requirements. Candidates must be familiar with Form U4 and Form U5, as well as reporting obligations for outside business activities and political contributions.

Topic 5

Understanding Trading, Customer Accounts, and Prohibited Activities: This section of the exam measures the skills of Securities Traders and focuses on different trading strategies, settlement processes, and corporate actions. Candidates must demonstrate knowledge of order types, including market, limit, stop, and good-til-canceled orders, as well as bid-ask spreads and discretionary versus non-discretionary trading.

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FINRA - SIE - Efficient Valid Securities Industry Essentials Exam (SIE) Exam Materials

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q91-Q96):

NEW QUESTION # 91
A registered representative who is terminated from a broker-dealer must notify FINRA of a residential address change for what period of time after termination?

A. Two years
B. Six years
C. One year
D. Three years

Answer: A

Explanation:
Step by Step Explanation:
* FINRA Rule 1122: Requires that registered representatives update their residential address with FINRA for two years post-termination.
* Purpose: This ensures accurate records for potential regulatory inquiries during the statutory two-year period when a terminated individual remains subject to FINRA's jurisdiction.
References:
* FINRA Rule 1122 (Filing False or Misleading Information): FINRA Rule 1122.

NEW QUESTION # 92
Which of the following is a reportable obligation with respect to an individual's Form U4?

A. A change of residential address
B. A speeding ticket
C. A change of business telephone number
D. A gambling-related misdemeanor charge

Answer: D

Explanation:
Step by Step Explanation:
* Form U4 Reporting Requirements: Registered persons must disclose criminal charges (excluding minor traffic violations) and material changes such as residential address changes. Gambling-related misdemeanors are considered reportable.
* Incorrect Options:
* Speeding Ticket: Typically not reportable unless it involves a felony.
* Business Telephone Number: Not material for Form U4.
References:
* FINRA Form U4 Instructions: FINRA Form U4.

NEW QUESTION # 93
A registered representative (RR) receives a mutual fund order from a customer at 4:10 p.m. ET. Which of the following statements is true regarding this order?

A. It is not permitted to be accepted as it was received after the market close.
B. It must be executed at the next day's opening price.
C. It must be executed at the next closing price.
D. It must be accepted as an "as/of" trade for today's price.

Answer: C

Explanation:
Mutual funds are traded based on forward pricing. Orders received after the market closes are executed at the NAV calculated at the next market close.
* A is correctbecause it aligns with forward pricing rules.
* B,C, andDare incorrect as they do not follow mutual fund trade practices.

NEW QUESTION # 94
A customer purchases 100 shares of stock. The customer fears a decline in the share price and would like to protect his investment and minimize loss. Which of the following strategies should the customer employ to lock in his profit?

A. Purchase a call
B. Purchase a put
C. Sell a put
D. Sell a call

Answer: B

Explanation:
Purchasing a put option allows the customer to sell the stock at a predetermined price (the strike price) if the share price declines. This strategy protects against downside risk while maintaining upside potential.
* C is correctbecause a put acts as insurance, locking in a minimum sale price.
* Ais incorrect because selling a put exposes the investor to additional risk if the stock declines.
* Bis incorrect because selling a call generates income but does not protect against downside risk.
* Dis incorrect because purchasing a call is a bullish strategy unrelated to protecting existing positions.

NEW QUESTION # 95
Pursuant to the Securities Act of 1933, registration is required for which of the following securities?

A. Municipal securities
B. Open-end investment companies
C. Private placements
D. U.S. government issues

Answer: B

Explanation:
The Securities Act of 1933 requires securities offered to the public to be registered with the SEC unless they qualify for an exemption. Open-end investment companies (mutual funds) are not exempt and must register.
* D is correctbecause mutual funds are publicly offered and require registration.
* Ais incorrect because private placements are exempt under Regulation D.
* Bis incorrect because municipal securities are exempt under Section 3(a)(2).
* Cis incorrect because U.S. government securities are also exempt under Section 3(a)(2).

NEW QUESTION # 96
......

These SIE exam question formats contain real, valid, and updated FINRA SIE exam questions that will assist you in FINRA Securities Industry Essentials Exam (SIE) exam preparation and enable you to pass the challenging FINRA SIE Exam with good scores. The FINRA SIE questions are prepared by highly experienced professionals and, thus, are kept to the point and concise.

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