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FINRA SIE Exam Syllabus Topics:

TopicDetails
Topic 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.
Topic 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.
Topic 3
  • 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 4
  • 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.

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FINRA SIE Practice Test [2026]

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q279-Q284):

NEW QUESTION # 279
A customer wants to establish an account for the benefit of his grandchildren. He states to his registered representative that he wants to be able to control the distribution of the assets and direct how the account will be invested. Which of the following account types is most appropriate?

Answer: A

Explanation:
Step by Step Explanation:
Trust Accounts: Provide the account owner (trustee) full control over distributions and investment decisions.
Suitable for complex estate planning needs.
Incorrect Options:
UTMA: Transfers control to the minor upon reaching the age of majority.
529 Plan: Used for educational savings, with limited control over distributions.
CD: A fixed-term deposit, not an account type for managing distributions.
SEC and FINRA Guidelines on Trusts: FINRA Trust Accounts.


NEW QUESTION # 280
Which of the following responses best describes the primary strategy that an investor uses when selling a covered call?

Answer: D

Explanation:
A covered call involves selling a call option on a stock the investor already owns. The strategy generates income in the form of the premium collected for selling the call, providing additional returns on the stock position.
* D is correct because the primary goal of a covered call is to generate income.
* A is incorrect because covered calls do not hedge against large declines in the stock price.
* B is incorrect because speculation involves taking higher risks, not a covered call's conservative strategy.
* C is incorrect because no strategy guarantees a profit.
Reference: SIE Study Guide, Chapter 8: Options Strategies


NEW QUESTION # 281
Which of the following scenarios may cause a firm to consider placing a registered representative on heightened supervision?

Answer: D

Explanation:
A recent history of customer complaints is a strong supervisory red flag and may cause a firm to place a registered representative on heightened supervision. Heightened supervision is used when a firm identifies increased regulatory, sales-practice, disciplinary, or customer-harm risk associated with a representative.
Repeated customer complaints may indicate unsuitable recommendations, unauthorized trading, misrepresentations, excessive trading, poor communication, or other conduct concerns. Choice B is correct. A felony arrest without a charge may require internal review depending on firm policy, but the answer choice is weaker because an arrest alone is not the same as a history of customer-related conduct concerns. A large home equity line of credit is not inherently a securities regulatory red flag. Choice D is not necessarily improper because the account is described as discretionary; if written discretionary authority and supervisory approval exist, the representative is not required to consult the customer before each trade. The SIE outline includes employee conduct, customer complaints, potential red flags, and the consequences of misconduct. It also includes Form U4/U5 reporting, supervisory obligations, and prohibited activities. Reference: Overview of Regulatory Framework; Employee Conduct; Customer Complaints; Potential Red Flags.


NEW QUESTION # 282
Which of the following debt security classes has the highest claim priority ranking?

Answer: B

Explanation:
The correct answer is A, Secured debt. In the event of a company's liquidation or bankruptcy, creditors are paid based on a strict priority of claims hierarchy. Secured debt has the highest priority because it is backed by specific collateral, such as property, equipment, or other assets. If the issuer defaults, secured creditors have a legal claim to seize and sell the collateral to recover their investment, giving them the strongest protection.
Next in priority would typically be senior unsecured debt, which has no collateral backing but still ranks ahead of other unsecured obligations. Below that is subordinated debt, which explicitly ranks lower in priority and is only repaid after senior creditors have been satisfied.
Second lien secured debt is still secured, but it has a secondary claim on the same collateral behind first lien (primary) secured debt. This means it is riskier than first lien secured debt because those creditors are paid first from the collateral proceeds.
Therefore, among the choices, secured debt (specifically first lien secured debt) holds the highest claim priority, making it the safest from a repayment standpoint and the correct answer for this question.


NEW QUESTION # 283
Which of the following must a registered representative disclose as an outside business activity (OBA) on his Form U4?

Answer: C

Explanation:
FINRA Rule 3270 requires registered representatives to disclose all outside business activities that involve compensation or could reasonably be perceived as a conflict of interest.
* C is correct because serving as a board member for a publicly traded company is a business activity requiring disclosure, even if compensation is indirect.
* A is incorrect because volunteer work for charities does not require disclosure.
* B is incorrect because acting as a trustee for a personal or family estate is generally not considered an OBA.
* D is incorrect because unpaid board membership for a not-for-profit entity does not typically require disclosure.
Reference: FINRA Rule 3270 (Outside Business Activities)


NEW QUESTION # 284
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