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FINRA SIE Exam Overview:

Certification Vendor:	FINRA
Exam Name:	Securities Industry Essentials Exam
Exam Number:	SIE
Available Languages:	English
Real Exam Qty:	75 scored + 5 unscored pre-test
Exam Duration:	105 minutes
Exam Format:	Multiple Choice
Related Certifications:	Series 86/87 Series 79 Series 6 Series 22 Series 7 Series 82 Series 57
Certificate Validity Period:	4 years
Exam Price:	$100 USD
Passing Score:	70%
Recommended Training:	FINRA SIE Content Outline & Study Materials
Exam Registration:	Prometric Testing FINRA Official Registration
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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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	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 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	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.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q205-Q210):

NEW QUESTION # 205
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 company must be traded on a listed stock exchange.
B. The shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.
C. The affiliate must have a holding period of six months.
D. The issuer must notify FINRA of the proposed sale by submitting a Form 144.

Answer: C

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 # 206
Which of the following account registration types is subject to probate upon the death of the account owner?

A. Individual
B. Transfer-on-death (TOD)
C. Joint tenants with right of survivorship (JTWROS)
D. Irrevocable trust

Answer: A

Explanation:
Accounts held individually are subject to probate, which is the legal process of administering the decedent's estate. Probate determines the distribution of assets according to the deceased's will or state intestacy laws.
* A is correctbecause individual accounts require probate to transfer assets.
* Bis incorrect because irrevocable trusts bypass probate.
* Cis incorrect because TOD accounts allow direct transfer of assets to named beneficiarieswithout probate.
* Dis incorrect because JTWROS accounts transfer ownership to the surviving account holder automatically.

NEW QUESTION # 207
When exercised, an option written on which of the following items must be settled in cash?

A. Master limited partnership
B. Exchange-traded funds (ETFs)
C. Equity index
D. Preferred stock

Answer: C

Explanation:
Step by Step Explanation:
* Equity Index Options: These are cash-settled because the underlying asset is not a physical security but a theoretical value representing the index.
* Incorrect Options:
* Preferred Stock, Master Limited Partnerships, and ETFs: These involve physical delivery of the underlying asset upon exercise.
Options Clearing Corporation (OCC) Guidelines: OCC Cash-Settled Options.

NEW QUESTION # 208
Under the Investment Company Act of 1940, which of the following products are considered redeemable securities?

A. Shares of unit investment trusts (UITs) purchased through a public offering
B. Shares issued by a closed-end investment company
C. Master limited partnerships
D. Short-term paper

Answer: A

Explanation:
Redeemable securities are those that can be sold back to the issuer.
* D is correctbecause unit investment trusts (UITs) issue redeemable securities.
* Cis incorrect because closed-end fund shares are traded on secondary markets, not redeemable.
* AandBdo not meet the definition of redeemable securities.

NEW QUESTION # 209
An associated person at a member firm receives a complaint from a customer involving allegations of forgery.
Once the complaint is received, which of the following actions is required?

A. The member firm must have a principal review the complaint and determine if the forgery occurred before filing a report with FINRA.
B. The member firm must complete arbitration to resolve the complaint with the customer before filing a report with FINRA.
C. The member firm is not required to report the event to FINRA but must maintain a file of the complaint for four years.
D. The member firm must report the event promptly to FINRA.

Answer: D

Explanation:
Step by Step Explanation:
* FINRA Rule 4530: Requires member firms to report certain events, including allegations of forgery, to FINRA promptly.
* Incorrect Options:
* Option B: Maintaining a record does not substitute for required reporting.
* Option C: Arbitration isn't required before reporting.
* Option D: Reporting is mandatory irrespective of internal investigations.
:
FINRA Rule 4530 (Reporting Requirements): FINRA Rule 4530.

NEW QUESTION # 210
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