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FINRA SIE Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Understanding Products and Their Risks	44%	- Options 1. Options strategies and associated risks 2. Basic options concepts (calls, puts, premiums, expiration) - Alternative Investments 1. Hedge funds, private equity, and other alternative products 2. Risks associated with alternative investments - Equity Securities 1. Common stock, preferred stock, rights, warrants, ADRs 2. Control and restrictions (e.g., SEC Rule 144) 3. Ownership rights, voting rights, convertible features - Debt Instruments 1. Money market instruments 2. Municipal securities (GO bonds, revenue bonds, short-term obligations) 3. Agency securities (asset-backed and mortgage-backed securities) 4. Treasury securities (bills, notes, bonds, receipts) 5. Corporate bonds - Investment Risks 1. Political and currency risk 2. Interest rate risk and reinvestment risk 3. Market risk, credit risk, liquidity risk, inflation risk - Packaged Products 1. Real estate investment trusts (REITs) 2. Exchange-traded funds (ETFs) 3. Direct participation programs (DPPs) 4. Mutual funds (open-end and closed-end) 5. Variable annuities and variable life insurance
Topic 2: Knowledge of Capital Markets	16%	- Regulatory Entities, Agencies and Market Participants 1. Role of the SEC, SROs (e.g., FINRA, MSRB), and other regulators 2. Role of broker-dealers, investment advisers, and other market participants - Market Structure 1. Market indices and economic indicators (e.g., GDP, GNP, exchange rates) 2. Types of markets (primary, secondary, third, fourth) 3. Exchange markets vs. OTC markets - Offerings 1. Types and purpose of offering documents (e.g., prospectus, official statement) 2. Methods of distribution (e.g., best efforts, firm commitment) 3. Roles of participants (e.g., investment bankers, underwriting syndicate, municipal advisors) 4. Regulatory filing requirements and exemptions (e.g., SEC, blue-sky laws) 5. Shelf registrations and distributions 6. Types of offerings: public vs. private, IPO, secondary and follow-on offerings
Topic 3: Overview of the Regulatory Framework	9%	- Securities Acts and Regulations 1. Securities Act of 1933 and Securities Exchange Act of 1934 2. Investment Company Act of 1940 and Investment Advisers Act of 1940 3. Securities Investor Protection Act of 1970 (SIPA) - FINRA Rules and Registration Requirements 1. Registration and qualification requirements (FINRA Rule 1210) 2. Supervision and compliance obligations 3. Continuing education requirements
Topic 4: Understanding Trading, Customer Accounts and Prohibited Activities	31%	- Prohibited Activities 1. Anti-money laundering (AML) requirements 2. Market manipulation (e.g., painting the tape, churning) 3. Unauthorized transactions and misrepresentation 4. Insider trading and front running - Trading, Settlement and Corporate Actions 1. Trade execution and settlement (e.g., T+1, T+2) 2. Order types (market, limit, stop orders) 3. Corporate actions (dividends, stock splits, mergers) - Customer Accounts 1. Account opening requirements and documentation 2. Customer protection rules (e.g., SIPC, Rule 15c3-3) 3. Margin accounts and Regulation T 4. Types of accounts (individual, joint, retirement, custodial)

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q32-Q37):

NEW QUESTION # 32
A currency devaluation impacts a country's economic activity in which of the following ways?

A. Decreases gross domestic product (GDP)
B. Decreases inflation
C. Makes exports cost less in merchandise trade countries
D. Increases imports from merchandise trade countries

Answer: C

Explanation:
Currency devaluation reduces the value of a country's currency relative to others, making its exports cheaper and more competitive internationally. This stimulates demand for the country's goods and services.
* D is correctbecause devaluation reduces export costs, encouraging foreign buyers.
* Ais incorrect because devaluation can increase inflation by raising the cost of imported goods.
* Bis incorrect because GDP often rises due to increased export demand.
* Cis incorrect because imports become more expensive after devaluation, reducing demand.

NEW QUESTION # 33
A Treasury bill is issued under which of the following terms?

A. At par
B. At a discount
C. At par plus interest
D. At a stated rate of interest

Answer: B

Explanation:
Treasury bills (T-bills) are short-term debt securities issued at a discount to par value. The difference between the purchase price and the par value represents the investor's interest income, which is realized when the T- bill matures.
* C is correct because T-bills are issued at a discount and mature at par.
* A is incorrect because T-bills are not sold at par value.
* B and D are incorrect because T-bills do not pay periodic interest; the return is based on the discount.
Reference: SIE Study Guide, Chapter 3: U.S. Treasury Securities

NEW QUESTION # 34
Which of the following events will cause FINRA to deny an individual's application for registration?

A. Receiving frequent oral complaints from previous customers
B. Being terminated for performance by a previous employer
C. Being convicted of bribery within the last 10 years
D. Defaulting on a mortgage

Answer: C

Explanation:
A conviction for bribery within the last 10 years is a statutory disqualification event and can cause FINRA to deny an individual's application for registration. Statutory disqualification applies to serious criminal, regulatory, and disciplinary events that raise concerns about an applicant's fitness to associate with a member firm. Bribery is a serious dishonesty-related offense and falls squarely within the types of criminal misconduct that can disqualify a person from registration. Choice B is correct. Defaulting on a mortgage may be financially significant and may require disclosure depending on the circumstances, but it is not automatically a statutory disqualification. Being terminated for performance does not itself disqualify an applicant unless it involves reportable misconduct or regulatory concerns. Frequent oral complaints may be a supervisory red flag, but oral complaints alone do not create automatic denial of registration. The SIE outline includes SRO qualification and registration requirements, statutory disqualification, background checks, Form U4, felony and financial-related misdemeanor reporting, and employee conduct. The key tested concept is that certain criminal convictions, including bribery, create regulatory ineligibility. Reference: Section 4.1.1 Registration and Continuing Education; Section 4.2.2 Reportable Events; statutory disqualification.

NEW QUESTION # 35
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 must be accepted as an "as/of" trade for today's price.
B. It is not permitted to be accepted as it was received after the market close.
C. It must be executed at the next day's opening price.
D. It must be executed at the next closing price.

Answer: D

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 correct because it aligns with forward pricing rules.
* B, C, and D are incorrect as they do not follow mutual fund trade practices.
Reference: Investment Company Act of 1940, Section 22

NEW QUESTION # 36
The use of company-specific financial and operating information that typically spans longer periods of time to evaluate an investment opportunity is known as which of the following types of analyses?

A. Economic
B. Quantitative
C. Technical
D. Fundamental

Answer: D

Explanation:
The correct answer is D, Fundamental analysis. Fundamental analysis involves evaluating a company's financial statements, earnings, revenues, management quality, competitive position, and overall economic conditions to determine the intrinsic value of a security. This approach typically focuses on long-term investment horizons, as it seeks to identify whether a stock is undervalued or overvalued based on its underlying business performance.
Fundamental analysts examine key financial metrics such as price-to-earnings (P/E) ratios, earnings growth, debt levels, and cash flow. They also consider broader factors like industry trends and macroeconomic conditions. Because it relies on detailed financial and operational data over time, it is best suited for investors looking to make long-term investment decisions.
Choice A, Technical analysis, focuses instead on price patterns, charts, and trading volume, typically over shorter time frames, without regard to a company's financial health. Choice B, Economic analysis looks at broad macroeconomic factors like GDP, inflation, and interest rates, not individual companies. Choice C, Quantitative analysis uses mathematical and statistical models, often algorithm-driven, rather than company- specific qualitative and financial evaluation.
Thus, the description clearly aligns with fundamental analysis, making choice D the correct answer.

NEW QUESTION # 37
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