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FINRA SIE Exam Syllabus Topics:

Section	Weight	Objectives
Understanding Products and Their Risks	44%	- Investment Risks 1. Market risk, credit risk, liquidity risk, inflation risk 2. Interest rate risk and reinvestment risk 3. Political and currency risk - Packaged Products 1. Direct participation programs (DPPs) 2. Exchange-traded funds (ETFs) 3. Real estate investment trusts (REITs) 4. Mutual funds (open-end and closed-end) 5. Variable annuities and variable life insurance - Options 1. Basic options concepts (calls, puts, premiums, expiration) 2. Options strategies and associated risks - Equity Securities 1. Control and restrictions (e.g., SEC Rule 144) 2. Ownership rights, voting rights, convertible features 3. Common stock, preferred stock, rights, warrants, ADRs - Debt Instruments 1. Agency securities (asset-backed and mortgage-backed securities) 2. Corporate bonds 3. Treasury securities (bills, notes, bonds, receipts) 4. Money market instruments 5. Municipal securities (GO bonds, revenue bonds, short-term obligations) - Alternative Investments 1. Risks associated with alternative investments 2. Hedge funds, private equity, and other alternative products
Knowledge of Capital Markets	16%	- Regulatory Entities, Agencies and Market Participants 1. Role of the SEC, SROs (e.g., FINRA, MSRB), and other regulators 2. Role of broker-dealers, investment advisers, and other market participants - Offerings 1. Types and purpose of offering documents (e.g., prospectus, official statement) 2. Types of offerings: public vs. private, IPO, secondary and follow-on offerings 3. Shelf registrations and distributions 4. Methods of distribution (e.g., best efforts, firm commitment) 5. Regulatory filing requirements and exemptions (e.g., SEC, blue-sky laws) 6. Roles of participants (e.g., investment bankers, underwriting syndicate, municipal advisors) - Market Structure 1. Types of markets (primary, secondary, third, fourth) 2. Exchange markets vs. OTC markets 3. Market indices and economic indicators (e.g., GDP, GNP, exchange rates)
Overview of the Regulatory Framework	9%	- FINRA Rules and Registration Requirements 1. Supervision and compliance obligations 2. Continuing education requirements 3. Registration and qualification requirements (FINRA Rule 1210) - Securities Acts and Regulations 1. Securities Act of 1933 and Securities Exchange Act of 1934 2. Securities Investor Protection Act of 1970 (SIPA) 3. Investment Company Act of 1940 and Investment Advisers Act of 1940
Understanding Trading, Customer Accounts and Prohibited Activities	31%	- Trading, Settlement and Corporate Actions 1. Trade execution and settlement (e.g., T+1, T+2) 2. Order types (market, limit, stop orders) 3. Corporate actions (dividends, stock splits, mergers) - Prohibited Activities 1. Market manipulation (e.g., painting the tape, churning) 2. Unauthorized transactions and misrepresentation 3. Anti-money laundering (AML) requirements 4. Insider trading and front running - Customer Accounts 1. Account opening requirements and documentation 2. Margin accounts and Regulation T 3. Customer protection rules (e.g., SIPC, Rule 15c3-3) 4. Types of accounts (individual, joint, retirement, custodial)

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q338-Q343):

NEW QUESTION # 338
Which of the following statements is true regarding the SEC's characterization of a registration statement that has just been made effective?

A. The SEC has approved the security being offered for sale.
B. The SEC has determined that no material information has been omitted.
C. The SEC has found the information presented to be true and accurate.
D. The SEC has not passed judgment on the merits of the security being offered for sale.

Answer: D

Explanation:
Step by Step Explanation:
* SEC Registration Statements: The SEC reviews registration statements for completeness and compliance but does not judge the merits, approve, or endorse the securities being offered.
* Other Options:
* A, B, and C: Misrepresent the SEC's role in the registration process.
:
SEC Bulletin on Registration Statements: SEC Registration Process.

NEW QUESTION # 339
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 report the event promptly to FINRA.
C. The member firm must complete arbitration to resolve the complaint with the customer before filing a report with FINRA.
D. The member firm is not required to report the event to FINRA but must maintain a file of the complaint for four years.

Answer: B

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 # 340
Which of the following statements is true of the comparison between penny stocks and blue-chip stocks?

A. Penny stock issuers are generally better capitalized than issuers of blue-chip stocks.
B. Penny stock prices are generally more stable than blue-chip stock prices.
C. Penny stocks are more likely to pay dividends than blue-chip stocks.
D. Penny stocks are generally less liquid than blue-chip stocks.

Answer: D

Explanation:
Step by Step Explanation:
* Penny Stocks: These are low-priced, highly speculative stocks often issued by small or distressed companies. They generally have low liquidity, meaning they can be difficult to buy or sell without significantly impacting the price.
* Incorrect Options:
* Dividends: Penny stocks rarely pay dividends, unlike blue-chip stocks.
* Price Stability: Penny stocks are highly volatile compared to blue-chip stocks.
* Capitalization: Blue-chip companies are far better capitalized.
References:
* SEC Bulletin on Penny Stocks: SEC Penny Stocks.

NEW QUESTION # 341
Under FINRA rules, If a customer sells shares In an Investment company that Includes a contingent deferred sales charge (CDSC) on redemptions, in which of the following ways must the deferred sales charge be reported to the customer?

A. In writing, at the time of redemption
B. On the customer's account statement
C. On the broker-dealer's website
D. On the trade confirmation

Answer: D

NEW QUESTION # 342
Accrued bond interest at the time of sale is paid to the:

A. buyer on the trade date.
B. buyer, as it is deducted from the net proceeds.
C. seller, as it is added to the net proceeds.
D. seller on the next payment date.

Answer: C

Explanation:
Bonds pay interest periodically (commonly semiannually). Between interest payment dates, interest accrues daily. When a bond is sold in the secondary market, the buyer will receive the full next interest payment from the issuer on the scheduled coupon date-even though the buyer did not hold the bond for the entire coupon period. To make this fair, the buyer compensates the seller for the portion of interest that accrued while the seller owned the bond. This compensation is called accrued interest, and it is paid by the buyer to the seller as part of the transaction's total cost.
Operationally, in most bond trades the quoted price is "clean" (excluding accrued interest). The settlement amount is the "dirty" price: clean price + accrued interest. From the seller's perspective, accrued interest is added to the net proceeds of the sale, which is exactly what choice D states. Therefore, the correct answer is D.
Choice A is incorrect because the buyer is not receiving accrued interest; the buyer is paying it. Choice B is incorrect because accrued interest is not deducted from the seller's proceeds; it is added. Choice C is incorrect because the seller does not wait until the next coupon date to receive their earned interest-accrued interest is settled in the trade. The bond issuer pays the coupon to the holder of record as of the relevant record date, which will be the buyer after settlement; the seller is compensated at settlement via accrued interest.
This is a core SIE bond settlement concept: buyer pays seller accrued interest, and the seller's proceeds include it.

NEW QUESTION # 343
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