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FINRA SIE Exam Overview:

Certification Vendor:	FINRA
Exam Name:	Securities Industry Essentials Exam
Exam Number:	SIE
Passing Score:	70%
Certificate Validity Period:	4 years
Exam Format:	Multiple Choice
Available Languages:	English
Real Exam Qty:	75 scored + 5 unscored pre-test
Related Certifications:	Series 57 Series 22 Series 82 Series 7 Series 6 Series 79 Series 86/87
Exam Duration:	105 minutes
Exam Price:	$100 USD
Recommended Training:	FINRA SIE Content Outline & Study Materials
Exam Registration:	FINRA Official Registration Prometric Testing
Sample Questions:	FINRA SIE Sample Questions
Exam Way:	Computer-based; available in-person at Prometric test centers or online remote proctoring
Pre Condition:	Minimum age 18; no firm sponsorship or prior employment required; open to all individuals
Official Syllabus URL:	https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam

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SIE考題資源 - SIE認證

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FINRA SIE 考試大綱：

主題	簡介
主題 1	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.
主題 2	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.
主題 3	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.
主題 4	Regulatory Entities, Agencies, and Market Participants: This section of the exam measures the skills of Financial Regulatory Analysts and covers the structure, authority, and jurisdiction of key regulatory bodies overseeing financial markets. The SEC's role in enforcing securities regulations is assessed, along with the authority of self-regulatory organizations such as FINRA and MSRB. Candidates must also understand the functions of other financial regulators, including the Department of the Treasury and state regulatory agencies. One key skill evaluated is identifying the jurisdictional scope of different financial regulators.
主題 5	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.

最新的 General Securities Representative SIE 免費考試真題 (Q344-Q349):

問題 #344
Which of the following types of investment companies raise money by issuing a fixed number of shares through an initial public offering (IPO), actively manage their portfolios and trade their shares on a stock exchange?

A. Variable annuities
B. Open-end funds
C. Closed-end funds
D. Unit investment trusts (UITs)

答案：C

解題說明：
The description matches closed-end funds, making choice B correct. Closed-end investment companies raise capital by issuing a fixed number of shares, typically through an IPO (or subsequent offerings in some cases).
After the initial issuance, investors generally buy and sell shares of the closed-end fund in the secondary market, most commonly on a stock exchange, at market prices determined by supply and demand. Closed-end funds are typically actively managed, though some may follow rules-based strategies.
This differs from open-end mutual funds (choice A), which continuously issue and redeem shares directly with investors at net asset value (NAV) (plus/minus applicable sales charges). Open-end funds do not have a fixed number of shares; the number of shares outstanding changes every day as investors purchase and redeem. Variable annuities (choice C) are insurance products with subaccounts that resemble mutual funds, but they are not investment companies that issue exchange-traded shares via an IPO. UITs (choice D) do issue redeemable units and have a defined portfolio, but they are not actively managed-the portfolio is generally fixed, and the UIT terminates on a stated date.
A key SIE concept embedded here is that closed-end funds often trade at a premium or discount to NAV, unlike open-end funds that transact at NAV. The exchange-traded nature also means investors may pay brokerage commissions and face bid-ask spreads, and their execution price depends on market trading- important distinctions in cost and liquidity compared to open-end funds.

問題 #345
Which of the following statements best describes an American Depositary Receipt (ADR)?

A. ADRs trade like U.S. issues and are quoted in U.S. dollars.
B. ADRs represent shares of a foreign security held in foreign commercial banks.
C. ADRs represent shares of a U.S. security held in foreign commercial banks.
D. ADRs trade like U.S. issues and are quoted in foreign currency.

答案：A

解題說明：
Step by Step Explanation:
* ADRs: Represent foreign securities but are issued in the U.S. and quoted in U.S. dollars, making them easier for American investors to trade.
* Incorrect Options:
* B: ADRs are quoted in U.S. dollars, not foreign currencies.
* C & D: ADRs represent foreign securities held by U.S. banks, not foreign banks.
SEC Bulletin on ADRs: SEC ADR Overview.

問題 #346
On settlement date, a customer is unable to pay for a purchase in his cash account. His position is liquidated.
Which of the following statements is true according to Federal Reserve Regulation T?

A. Only closing transactions are permitted.
B. The customer is barred from trading for 30 days.
C. All related accounts are restricted for 90 days.
D. The customer's account is restricted for 90 days.

答案：D

問題 #347
An investor decides to use a registered representative to make investment decisions for his account, as well as decide when to place any trades. Which of the following types of accounts should the investor open?

A. Margin
B. Custodial
C. Options
D. Discretionary

答案：D

解題說明：
The correct answer is D, Discretionary. A discretionary account allows a registered representative (RR) to make investment decisions and execute trades on behalf of the client without obtaining prior approval for each transaction. This directly matches the scenario described in the question.
Step-by-step, discretionary authority must be granted in writing by the customer and approved by the firm's principal before it can be exercised. Once approved, the RR can determine what securities to buy or sell and when to execute trades, although the account must still be managed in accordance with the customer's investment objectives and suitability requirements.
Choice A, margin, refers to borrowing money to purchase securities and does not grant trading authority to the RR. Choice B, options, is a type of account used for trading options contracts and also does not provide discretionary authority. Choice C, custodial accounts are established for minors and managed by an adult custodian, not applicable in this situation.
Thus, when an investor wants the RR to control investment decisions and timing of trades, a discretionary account is required, making Answer D correct.

問題 #348
Which of the following statements concerning nonqualified deferred compensation plans is true?

A. They are governed by ERISA rules.
B. A failure of the business could lead to nonpayment of the deferred compensation.
C. Such plans must be reviewed with the IRS.
D. The deferred compensation must be held in escrow at a bank.

答案：B

解題說明：
Nonqualified deferred compensation (NQDC) plans allow employees to defer income until a future date.
* D is correct because NQDC funds remain part of the company's general assets, which creditors may claim if the company goes bankrupt.
* A is incorrect as NQDC plans are not subject to ERISA rules.
* B is incorrect because these plans do not require IRS review.
* C is incorrect as NQDC assets are not required to be held in escrow.
Reference: IRS Code Section 409A

問題 #349
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