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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 1	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 2	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.
Topic 3	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.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q230-Q235):

NEW QUESTION # 230
Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities, which of the following conditions must be met?

A. The shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.
B. The affiliate must have a holding period of six months.
C. The issuer must notify FINRA of the proposed sale by submitting a Form 144.
D. The company must be traded on a listed stock exchange.

Answer: B

Explanation:
Step by Step Explanation:
* Rule 144 Holding Period: Restricted securities held by affiliates require a six-month holding period before sale, provided the issuer is subject to SEC reporting requirements.
* Other Options:
* Notification to FINRA (C) is incorrect; Form 144 is submitted to the SEC, not FINRA.
* The 10% ADTV limitation (D) applies to the volume of shares sold, not the conditions for sale.
:
SEC Rule 144 (Selling Restricted Securities): SEC Rule 144.

NEW QUESTION # 231
If a company with a single outstanding bond issue chooses to extinguish this debt through refunding, which of the following actions will occur?

A. The company will establish a sinking fund for use in making regular open-market purchases of the bonds.
B. The company will retire one debt with the proceeds from another issue.
C. The company will buy back the bonds, at a discount, from the bondholders.
D. The company will issue stock to replace the bonds.

Answer: B

Explanation:
Refunding involves replacing existing debt with new debt, usually to take advantage of lower interest rates.
* B is correct because the company issues new bonds to pay off the existing debt.
* A is incorrect as refunding involves issuing debt, not equity.
* C is incorrect because the company is not obligated to buy back bonds at a discount.
* D is incorrect because a sinking fund is used for gradual repayment, not refunding.
Reference: SIE Study Guide, Chapter 3: Corporate Bonds

NEW QUESTION # 232
Which of the following responses describes a common feature of a hedge fund?

A. Low liquidity for investors
B. Transparent as to the underlying investments and strategies
C. Low minimum investment requirement
D. Primarily focused on fixed income investments

Answer: A

Explanation:
Step by Step Explanation:
* Low Liquidity: Hedge funds often impose lock-up periods and restrict redemptions, leading to low liquidity for investors.
* Incorrect Options:
* B: Hedge funds typically have high minimum investment requirements, often $1 million or more.
* C: Hedge funds employ diverse strategies, not just fixed income.
* D: Hedge funds are generally opaque about their strategies and holdings to protect their competitive advantage.
References:
* SEC Investor Bulletin on Hedge Funds: SEC Hedge Funds.

NEW QUESTION # 233
A customer has four traditional Individual retirement accounts (IRAs): two are at banks, one Is held directly at a mutual fund, and one Is held in her brokerage account. In order to meet her required minimum distribution (RMD), which of the following actions is she required to take?

A. Take a distribution based on the value of all of the accounts at the previous year end
B. Take a distribution from one of the bank IRAs and either the mutual fund or brokerage IRA
C. Take a distribution from the smallest account based on current value
D. Take a distribution from the largest account based on current value

Answer: A

NEW QUESTION # 234
For up to how many business days is a firm initially permitted to place a temporary hold on disbursements for a specified adult account in which the firm reasonably believes financial exploitation has occurred?

A. 10 business days
B. 5 business days
C. 3 business days
D. 15 business days

Answer: A

Explanation:
Step by Step Explanation:
* Temporary Hold Period: Under FINRA Rule 2165, a firm can initially place a hold on disbursements for up to 10 business days if financial exploitation is suspected.
* Additional Holds: The period may be extended by an additional 10 business days if warranted and allowed by state law.
* Incorrect Options:
* A & B: These are shorter than the permissible period.
* D: The initial hold period is capped at 10 business days.
References:
* FINRA Rule 2165 (Financial Exploitation of Specified Adults): FINRA Rule 2165.

NEW QUESTION # 235
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