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FINRA SIE Exam Overview:

Certification Vendor:	FINRA
Exam Name:	Securities Industry Essentials Exam
Exam Number:	SIE
Exam Format:	Multiple Choice
Certificate Validity Period:	4 years
Real Exam Qty:	75
Exam Price:	USD $100
Exam Duration:	105 minutes
Passing Score:	70
Available Languages:	English
Related Certifications:	Series 7 Series 99 Series 79 Series 6 Series 57
Sample Questions:	FINRA SIE Sample Questions
Exam Way:	Proctored in-person exam administered at Prometric testing centers
Pre Condition:	Must be at least 18 years old. No firm association required to take the SIE. To become registered, must also pass a representative-level qualification exam while associated with a FINRA member firm.
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	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 2	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 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.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q305-Q310):

NEW QUESTION # 305
Which of the following events requires reporting on a Form U4?

A. A felony conviction for drunk driving
B. A gross-misdemeanor domestic assault conviction
C. A bench warrant for missing a court date
D. A misdemeanor speeding ticket

Answer: A

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 # 306
Which of the following statements best describes a characteristic of 529 savings plan accounts?

A. The number of contributors to the account is limited.
B. Using funds for undergraduate or graduate studies is permissible.
C. Earnings are taxed to the donor at the time of a qualified withdrawal.
D. There are no contribution limits to the account.

Answer: B

Explanation:
Step by Step Explanation:
* 529 Savings Plans: These plans allow tax-advantaged savings for education expenses. They can be used for both undergraduate and graduate studies, as well as certain K-12 expenses.
* Contribution Limits: Contributions are subject to gift tax limits but have no specific statutory maximum under federal law.
* Tax Treatment: Earnings grow tax-deferred and are tax-free if used for qualified education expenses.
:
IRS Section 529 Guidance: IRS 529 Plans.

NEW QUESTION # 307
Which of the following security types is frequently offered to the public as part of a package or unit that also includes a fixed income obligation?

A. Common stock
B. Warrants
C. Preferred stock
D. Options

Answer: B

Explanation:
Step by Step Explanation:
* Warrants: Are often issued alongside fixed-income securities, such as bonds, to enhance their appeal to investors. Warrants give the holder the right to purchase company stock at a specific price in the future.
* Incorrect Options:
* Options: Not typically bundled with fixed-income securities.
* Common and Preferred Stock: Usually issued separately, not as part of a package with bonds.
:
SEC Guide on Warrants: SEC Warrants Information.

NEW QUESTION # 308
Offering 403(b) tax-sheltered annuity accounts to which of the following groups is permissible?

A. Small business owners
B. Employees of a nonprofit hospital
C. Volunteer workers
D. Active duty military personnel

Answer: B

NEW QUESTION # 309
Which of the following is a reportable obligation with respect to an individual's Form U4?

A. A change of business telephone number
B. A gambling-related misdemeanor charge
C. A speeding ticket
D. A change of residential address

Answer: B

Explanation:
Step by Step Explanation:
* Form U4 Reporting Requirements: Registered persons must disclose criminal charges (excluding minor traffic violations) and material changes such as residential address changes. Gambling-related misdemeanors are considered reportable.
* Incorrect Options:
* Speeding Ticket: Typically not reportable unless it involves a felony.
* Business Telephone Number: Not material for Form U4.
References:
* FINRA Form U4 Instructions: FINRA Form U4.

NEW QUESTION # 310
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