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| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | Securities Industry Essentials Exam |
| Exam Number: | SIE |
| Certificate Validity Period: | 4 years |
| Passing Score: | 70% |
| Exam Format: | Multiple Choice |
| Exam Price: | $100 USD |
| Related Certifications: | Series 79 Series 22 Series 7 Series 57 Series 6 Series 82 Series 86/87 |
| Exam Duration: | 105 minutes |
| Real Exam Qty: | 75 scored + 5 unscored pre-test |
| Available Languages: | English |
| Recommended Training: | FINRA SIE Content Outline & Study Materials |
| Exam Registration: | FINRA Official Registration Prometric Testing |
| 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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NEW QUESTION # 296
How frequently must a firm send statements for a brokerage account with no activity?
Answer: B
Explanation:
The correct answer is B, Quarterly. Under FINRA rules, specifically those governing customer account statements, broker-dealers are required to provide account statements to customers at least quarterly if there is no activity in the account.
Step-by-step, if an account has activity (such as trades, deposits, or withdrawals), statements must be sent monthly. However, if there is no activity during a given period, the firm is still required to provide an update so the customer can review holdings, balances, and account status. In such cases, the minimum requirement is once every calendar quarter.
Choice A (monthly) applies only when there is account activity, not inactivity. Choice C (semiannually) and Choice D (annually) are incorrect because they do not meet FINRA's minimum reporting standards and would fail to provide sufficient oversight and transparency to customers.
Providing regular statements-even when there is no activity-is an important investor protection measure. It allows customers to monitor their accounts, verify holdings, and detect any unauthorized activity or discrepancies.
Thus, for inactive accounts, firms must send statements at least quarterly, making Answer B correct.
NEW QUESTION # 297
All of the following activities are violations of the anti-manipulation provisions under SEC rules except:
Answer: C
Explanation:
Accepting unsolicited sell orders from customers while participating in a distribution is not, by itself, a violation of the anti-manipulation provisions. The key word is "unsolicited." Regulation M and related anti- manipulation rules restrict distribution participants from conduct that could artificially condition or influence the market for a security being distributed. However, processing unsolicited customer sell orders does not represent the firm inducing demand, supporting the market, or manipulating the price. Choice D is therefore the exception. Short tendering is prohibited because it can distort tender offer mechanics by allowing a person to tender shares not properly owned. Stabilizing above the offering price is improper because stabilization, when permitted, must follow strict limits and cannot be used to push the market above the offering level.
Distributing research while participating in an IPO can improperly condition the market and raise serious conflict and promotional concerns. The SIE outline includes market manipulation, Regulation M, deceptive practices, IPO-related restrictions, and prohibited activities. This question tests recognition of conduct that manipulates distribution markets versus ordinary unsolicited customer order handling. Reference: Section
3.3.1 Market Manipulation; Regulation M.
NEW QUESTION # 298
Which of the following statements best describes the permissibility of a borrowing arrangement between a registered representative (RR) and a customer who is also the RR's grandfather?
Answer: C
Explanation:
Step by Step Explanation:
* FINRA Rule 3240: Permits borrowing or lending arrangements between RRs and customers under specific conditions, including familial relationships, provided the arrangement complies with the firm's policies.
* Incorrect Options:
* A: FINRA approval is not required; firm approval is.
* B: A written agreement alone is insufficient without firm approval.
* C: Commercially reasonable terms are not the sole criterion for permissibility.
:
FINRA Rule 3240 (Borrowing from or Lending to Customers): FINRA Rule 3240.
NEW QUESTION # 299
Company XYZ files a registration statement for its initial public offering (IPO). XYZ is permitted to communicate all of the following information about the offering in writing to investors except that:
Answer: D
Explanation:
During the "quiet period" after filing the registration statement, issuers are restricted in what they can communicate to the public to avoid influencing the market.
* C is correct because promotional statements, such as those supporting the company's valuation, are prohibited during this time.
* A, B, and D are factual, non-promotional statements and are permitted.
Reference: Securities Act of 1933, Section 5; SEC Regulation S-K
NEW QUESTION # 300
Which of the following events requires reporting on a Form U4?
Answer: C
Explanation:
Form U4 (Uniform Application for Securities Industry Registration or Transfer) requires disclosure of any felony convictions, regardless of whether they are securities-related. A felony conviction for drunk driving falls under this requirement.
* B is correctbecause a felony conviction must be reported on Form U4.
* Ais incorrect as misdemeanor speeding tickets do not require disclosure unless they involve fraud, theft, or dishonesty.
* Cis incorrect as bench warrants are not reportable unless they lead to a conviction.
* Dis incorrect because gross misdemeanors (except those involving fraud or dishonesty) do not require reporting.
NEW QUESTION # 301
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