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FINRA SIE Exam Syllabus Topics:

Topic	Details
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	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 3	Understanding Trading, Customer Accounts, and Prohibited Activities: This section of the exam measures the skills of Securities Traders and focuses on different trading strategies, settlement processes, and corporate actions. Candidates must demonstrate knowledge of order types, including market, limit, stop, and good-til-canceled orders, as well as bid-ask spreads and discretionary versus non-discretionary trading.
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.
Topic 5	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.

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SIE Pdf Exam Dump - Valid SIE Exam Syllabus

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q68-Q73):

NEW QUESTION # 68
A registered representative (RR) opens a new account for a customer whose investment objectives are growth and income. She makes an initial deposit of $5,500 using a series of money orders drawn from different sources, and she makes no investments for the first 30 days the account is open. At the end of that time, the customer asks to have the funds wired to an account at a different firm as her needs have changed. The RR's first course of action should be to:

A. Accept the instructions and wire the funds.
B. Report internally as a suspicious activity.
C. Freeze the account.
D. Deny the request.

Answer: B

Explanation:
Step by Step Explanation:
* Suspicious Activity: The use of multiple money orders, lack of investment activity, and request to wire funds to another firm raise red flags for potential money laundering.
* FINRA Rules: The RR should escalate the issue by reporting internally and potentially filing a Suspicious Activity Report (SAR).
* Incorrect Options:
* A: Denying the request without investigation may violate customer instructions.
* B: Freezing the account requires a valid legal or regulatory basis.
* D: Processing the request without investigation could facilitate illegal activity.
:
FINRA Anti-Money Laundering (AML) Guidance: FINRA AML Rules.

NEW QUESTION # 69
Which of the following responses describes treasury stock?

A. U.S. government securities held by a corporation
B. Authorized but unissued stock
C. Stock subsequently reacquired by the issuer
D. Restricted stock owned by officers

Answer: C

Explanation:
Treasury stock refers to shares that were issued by a company and subsequently repurchased by the company.
These shares are held in the company's treasury and are not considered outstanding.
* C is correct because treasury stock is stock reacquired by the issuer.
* A is incorrect because authorized but unissued stock has never been issued.
* B is incorrect because restricted stock refers to shares issued with restrictions on transferability, not reacquired stock.
* D is incorrect because it incorrectly refers to government securities, not corporate stock.
Reference: SIE Study Guide, Chapter 5: Corporate Securities

NEW QUESTION # 70
When is it permissible to exercise European-style options contracts?

A. Only on the day of expiration
B. Only on the third Friday of every month
C. Only on the last business day before expiration
D. Only on the day after expiration

Answer: A

Explanation:
Step by Step Explanation:
* European-Style Options: Can only be exercised on their expiration date, unlike American-style options, which can be exercised any time before expiration.
* Incorrect Options:
* A: Not accurate; the exercise must occur specifically on the expiration date.
* C: Options cannot be exercised after expiration.
* D: The expiration date depends on the option contract, not a specific weekday.
:
Options Clearing Corporation (OCC) Guidelines: OCC European Options.

NEW QUESTION # 71
Which of the following individual brokerage account holdings would receive full SIPC coverage?

A. $250,000 in money market and $500,000 in equities
B. $500,000 in cash
C. $500,000 in equities
D. $300,000 in cash and $200,000 in equities

Answer: C

Explanation:
The correct answer is C, $500,000 in equities. SIPC (Securities Investor Protection Corporation) provides protection for customers of failed broker-dealers up to $500,000 total per customer, including a maximum of
$250,000 for cash.
Step-by-step, SIPC coverage applies to securities (stocks, bonds, mutual funds) and limited cash held in brokerage accounts. The key limits are:
* Total coverage: $500,000
* Cash sub-limit: $250,000
Now evaluate each choice:
* A: $300,000 cash exceeds the $250,000 cash limit, so $50,000 would be uncovered.
* B: $500,000 in cash exceeds the $250,000 limit, leaving $250,000 uncovered.
* C: $500,000 in equities is fully covered because securities can be protected up to the full $500,000 limit.
* D: Total is $750,000, which exceeds SIPC limits, so not fully covered.
Thus, only the account consisting entirely of $500,000 in securities (equities) falls within SIPC coverage limits without exceeding either the total or cash sub-limit.
Therefore, Answer C is correct.

NEW QUESTION # 72
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 100 shares at $5.00 per share.
B. The customer will have 200 shares at $2.50 per share.
C. The customer will have 50 shares at $10.00 per share.
D. The customer will have 1,000 shares at $0.50 per share.

Answer: C

Explanation:
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.

NEW QUESTION # 73
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