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FINRA SIE Exam Overview:

Certification Vendor:	FINRA
Exam Name:	Securities Industry Essentials Exam
Exam Number:	SIE
Available Languages:	English
Passing Score:	70%
Related Certifications:	Series 82 Series 22 Series 57 Series 79 Series 6 Series 86/87 Series 7
Exam Format:	Multiple Choice
Exam Price:	$100 USD
Certificate Validity Period:	4 years
Real Exam Qty:	75 scored + 5 unscored pre-test
Exam Duration:	105 minutes
Recommended Training:	FINRA SIE Content Outline & Study Materials
Exam Registration:	Prometric Testing FINRA Official Registration
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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FINRA SIE 시험요강:

주제	소개
주제 1	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.
주제 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.
주제 3	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.

최신 General Securities Representative SIE 무료샘플문제 (Q323-Q328):

질문 # 323
A customer will be out of the country for the next two months on business and asks his firm to hold his mail until he returns. Which of the following statements is true regarding this request?

A. At the discretion of the RR, the firm is permitted to hold the customer's mail provided it takes reasonable actions to ensure no tampering occurs with this mail.
B. The firm is prohibited from holding the customer's mail under FINRA rules due to the personal information contained.
C. The firm is permitted to hold the mail as long as the registered representative (RR) complies with the customer's oral instructions.
D. The firm must receive written instructions from the customer that include the time period for the requested mail hold.

정답：D

설명：
Step by Step Explanation:
* FINRA Rule 3150: Permits firms to hold customer mail only with written instructions specifying the duration, which cannot exceed three months unless there are exceptional circumstances.
* Incorrect Options:
* A: Holding mail is not prohibited if done in compliance with FINRA rules.
* C & D: Oral instructions or RR discretion are not sufficient; written authorization is mandatory.
FINRA Rule 3150 (Holding of Customer Mail): FINRA Rule 3150.

질문 # 324
A customer owns 100 shares of ABC with a current market value of $5.00 per share. The company undergoes a 1-for-2 reverse split of the stock. Which of the following statements is true of the customer's holdings and the price of the stock?

A. The customer will have 1,000 shares at $0.50 per share.
B. The customer will have 50 shares at $10.00 per share.
C. The customer will have 200 shares at $2.50 per share.
D. The customer will have 100 shares at $5.00 per share.

정답：B

설명：
Step by Step Explanation:
* Reverse Split Calculation: A 1-for-2 reverse split reduces the number of shares by half while doubling the price per share.
* Pre-Split Holdings: 100 shares at $5.00 = $500.
* Post-Split Holdings: 50 shares at $10.00 = $500.
* Incorrect Options: The total value remains unchanged; only the number of shares and price per share adjust.
:
FINRA Corporate Actions Guidance: FINRA Reverse Splits.

질문 # 325
Which of the following statements concerning nonqualified deferred compensation plans is true?

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

정답：D

설명：
Nonqualified deferred compensation (NQDC) plans allow employees to defer income until a future date.
* D is correctbecause NQDC funds remain part of the company's general assets, which creditors may claim if the company goes bankrupt.
* Ais incorrect as NQDC plans are not subject to ERISA rules.
* Bis incorrect because these plans do not require IRS review.
* Cis incorrect as NQDC assets are not required to be held in escrow.

질문 # 326
Which of the following groups are members of NASAA?

A. Broker-dealers
B. Self-regulatory organizations (SROs)
C. State securities regulators
D. Major stock exchanges

정답：C

설명：
NASAA is the North American Securities Administrators Association, and its membership is made up of state, provincial, and territorial securities regulators (in the U.S., primarily the state securities administrators).
That makes C correct. On the SIE, NASAA is tested as the umbrella organization representing state-level regulators, which are responsible for enforcing state securities laws ("blue sky" laws), registering certain securities offerings when applicable, and registering/licensing investment adviser representatives and other participants under state jurisdiction.
Choice A is incorrect because broker-dealers are regulated entities, not NASAA members. Broker-dealers register with the SEC and are members of self-regulatory organizations like FINRA, but they are not
"members of NASAA." Choice B is incorrect because stock exchanges are marketplaces and are often SROs themselves, but they are not NASAA members. Choice D is incorrect because SROs (such as FINRA or MSRB) are not NASAA members; NASAA represents state-level governmental regulators, not self- regulatory organizations.
This question reinforces an important SIE framework: U.S. securities regulation is shared among federal regulators (SEC), self-regulatory organizations (FINRA, MSRB, exchanges), and state regulators. NASAA serves as a coordinating body for state regulators, promoting uniformity through model rules, policy coordination, investor education, and cooperation among jurisdictions. Understanding NASAA's membership helps you correctly assign regulatory roles-especially when questions involve blue sky laws, state registration requirements, and state-level enforcement.

질문 # 327
Which of the following statements is true regarding a member firm's business continuity plan?

A. Each member firm must disclose to its customers at the time of account opening how its business continuity plan addresses the possibility of a significant business disruption.
B. Each member firm must have a website and post its business continuity plan to that website.
C. Each member firm must provide its business continuity plan to all customers at least annually.
D. Each member firm must provide its business continuity plan to FINRA annually.

정답：A

설명：
A member firm must disclose to customers at account opening how its business continuity plan addresses the possibility of a significant business disruption. The disclosure is designed to inform customers how the firm plans to respond if critical operations are interrupted. It generally addresses matters such as data backup, alternate communications, mission-critical systems, financial and operational assessments, and customer access to funds and securities. Choice D is correct because it accurately states both the timing and purpose of the required disclosure. Choice A is incorrect because the firm is not required to provide the full BCP to FINRA annually in the manner stated. Choice B is incorrect because the rule does not require annual delivery of the full BCP to every customer. Choice C is incorrect because if a firm has a website, disclosure rules may apply to posting, but every firm is not required to maintain a website solely for this purpose. The SIE outline includes business continuity plans as a books and records and customer protection topic and lists FINRA Rule
4370. Reference: Section 3.2.4 Books and Records and Privacy Requirements; FINRA Rule 4370.

질문 # 328
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