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| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | Securities Industry Essentials Exam |
| Exam Number: | SIE |
| Exam Format: | Multiple Choice |
| Available Languages: | English |
| Related Certifications: | Series 57 Series 22 Series 6 Series 7 Series 82 Series 79 Series 86/87 |
| Certificate Validity Period: | 4 years |
| Passing Score: | 70% |
| Exam Duration: | 105 minutes |
| Real Exam Qty: | 75 scored + 5 unscored pre-test |
| 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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NEW QUESTION # 92
A bond with a par value of $1,000 that is backed by the taxing power of a local government is known as:
Answer: C
Explanation:
Step by Step Explanation:
* General Obligation (GO) Bonds: Backed by the full faith and credit of the issuing municipality, relying on its taxing power for repayment.
* Revenue Bonds: Supported by revenues from a specific project or source.
* Treasury Bonds: Issued by the federal government.
* Corporate Bonds: Issued by corporations, not municipalities.
:
SEC Municipal Bond Guide: SEC GO Bonds.
NEW QUESTION # 93
Offering 403(b) tax-sheltered annuity accounts to which of the following groups is permissible?
Answer: C
Explanation:
Step by Step Explanation:
* 403(b) Accounts: These tax-advantaged retirement plans are specifically for employees of public schools, tax-exempt organizations, and certain other nonprofit employers, such as hospitals.
* Incorrect Options:
* Volunteer Workers: Ineligible unless they are also employees.
* Small Business Owners and Military Personnel: These groups typically qualify for other retirement plans, not 403(b).
IRS Publication 571 (403(b) Plans): IRS 403(b) Guidance.
NEW QUESTION # 94
In a rising interest rate environment, which of the following statements is true regarding the price of fixed-rate corporate bonds?
Answer: B
Explanation:
When interest rates rise, the price of fixed-rate corporate bonds falls because the bond's coupon payments become less attractive compared to new bonds issued at higher rates.
* D is correct as bond prices move inversely to interest rates.
* A is incorrect because bond prices fluctuate with interest rate changes.
* B is incorrect because bond prices revert to par only at maturity.
* C is incorrect because prices do not appreciate when rates rise.
Reference: SIE Study Guide, Chapter 3: Interest Rates and Bond Prices
NEW QUESTION # 95
Which of the following entitles is primarily responsible for providing Internal settlement, accounting and tax support services for securities owned by an investment company?
Answer: D
NEW QUESTION # 96
A registered representative (RR) notices that their long-time elderly customer's portfolio has some unusual activity that is not within the customer's typical investing pattern. The RR wants to ensure that the customer is not being exploited. Which of the following initial steps is the RR permitted to take to resolve their suspicions?
Answer: D
Explanation:
The most appropriate permitted initial step is to contact the customer directly to confirm the activity and, if needed, notify the customer's trusted contact person, making D correct. FINRA guidance and firm practices around protecting seniors emphasize proactive steps to detect and respond to potential financial exploitation.
A trusted contact is a person the customer authorizes the firm to contact if there are concerns about possible exploitation, diminished capacity, or suspicious activity. Reaching out to the customer helps verify whether the activity was authorized and consistent with their intentions, and involving the trusted contact (when appropriate and permitted) adds another protective layer.
Choice A is inappropriate because immediately closing an account is an extreme action that is not the standard first step and could harm the customer or disrupt legitimate needs. Choice B is also inappropriate because liquidating assets without authorization is generally impermissible absent a clear legal basis, proper discretion, or a valid protective hold process under firm policy and applicable rules. Choice C is not the correct initial step; while firms may have reporting obligations in certain circumstances, the immediate first response is typically internal escalation and customer contact rather than "reporting to FINRA and the SEC" as the first action.
On the SIE, this tests senior investor protection concepts: recognizing red flags, escalating internally, and using tools like the trusted contact to help protect vulnerable customers while respecting account authority and documentation requirements.
NEW QUESTION # 97
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