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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 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	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 4	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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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q156-Q161):

NEW QUESTION # 156
A registered representative constructs a portfolio of stocks that replicates the S&P 500 Index (SPX). He then regularly buys and sells SPX options to profit off changes in implied volatility. This is an example of:

A. day trading.
B. Index rebalancing.
C. passive management.
D. active management.

Answer: D

NEW QUESTION # 157
When opening an account for an employee of another member firm, FINRA rules require a member firm to meet all of the following requirements except:

A. Request prior written approval from FINRA.
B. Send written notice to the employer firm prior to executing the initial order for the employee's account.
C. Forward duplicate confirmations and statements to the employer firm if requested by the employer firm to do so.
D. Advise the employee that it will notify the employer firm of the account opening.

Answer: A

Explanation:
When a member firm opens an account for an employee of another member firm, the account-opening firm must comply with notification and duplicate-document requirements, but it is not required to request prior written approval from FINRA. Choice A is the exception and therefore the correct answer. The firm must advise the associated person that it will notify the employing firm. It must notify the employer firm before executing the initial transaction. If the employer firm requests duplicate confirmations and account statements, the executing firm must provide them. These requirements allow the employer firm to supervise outside brokerage activity of its associated persons and detect potential conflicts, undisclosed trading, insider trading concerns, or prohibited activity. Choice B, choice C, and choice D describe required or conditionally required steps. The SIE outline includes employee conduct, outside accounts, books and records, customer confirmations, account statements, and FINRA Rule 3210, Accounts at Other Broker-Dealers and Financial Institutions. The rule is supervisory in nature: FINRA does not approve each outside brokerage account, but the employing firm must receive notice and requested records. Reference: Overview of Regulatory Framework; Employee Conduct; FINRA Rule 3210.

NEW QUESTION # 158
Assuming yields are held constant, which of the following statements describes what will occur as a discount bond reaches maturity?

A. Its par value increases.
B. Its price increases.
C. Its par value decreases.
D. Its price decreases.

Answer: B

Explanation:
Step by Step Explanation:
* Discount Bonds: These are issued or traded below par value. Over time, their price moves closer to par as they approach maturity, assuming yields remain constant.
* Other Options:
* Par Value Changes: The par value of a bond does not change over time; only its price fluctuates.
:
SEC and FINRA Bond Basics: SEC Discount Bonds.

NEW QUESTION # 159
A broker-dealer (BD) is considering employing a nonregistered person to assist its sales staff in servicing customers. Which of the following activities are nonregistered persons permitted to perform?

A. Contacting current customers to determine if they are satisfied with their existing investments
B. Contacting prospective investors to discuss a BD educational seminar regarding the BD's proprietary mutual fund
C. Taking unsolicited orders from customers
D. Assisting sales staff in tracing and tabulating commissions

Answer: D

Explanation:
Nonregistered persons may perform clerical, ministerial, and administrative functions that do not involve securities recommendations, solicitation, or order taking. Assisting sales staff in tracing and tabulating commissions is a classic back-office/administrative task and is permitted for nonregistered personnel, making B correct. This type of activity supports operations but does not involve engaging in securities business that requires registration.
Choice A is not permitted because even taking unsolicited orders can be considered participating in securities transactions and can cross into activity reserved for registered persons, depending on the specifics. The SIE expects you to treat order taking as a registered activity unless it is clearly limited to purely clerical receipt and immediate routing under strict supervision-most exam questions treat "taking orders" as requiring registration.
Choice C is also problematic because contacting customers about whether they are satisfied with their investments can easily become a discussion about performance, holdings, or recommendations. While customer service calls may be allowed if strictly scripted and non-securities related, the wording "satisfied with their existing investments" suggests an investment discussion that can cross into solicitation or advice, which a nonregistered person should not do.
Choice D is not permitted because contacting prospective investors about a seminar tied to the BD's proprietary mutual fund is effectively marketing/sales-related outreach that can be viewed as solicitation.
Even if framed as "educational," it is connected to a specific product and prospecting activity, which generally requires registration.
The SIE tests the boundary: nonregistered = administrative support; registered = solicitation, recommendations, and securities business communications.

NEW QUESTION # 160
A retail investor owns shares of Mutual Fund ABC that paid a $0.25 dividend on September 1 and closed at
$10.00. What is the opening price once this fund trades on the ex-dividend date?

A. $9.75
B. $10.00
C. $10.25
D. $9.25

Answer: A

Explanation:
Step by Step Explanation:
* Ex-Dividend Date Pricing: On the ex-dividend date, the mutual fund's price is adjusted downward by the amount of the dividend.
* Closing Price: $10.00
* Dividend: $0.25
* Adjusted Opening Price: $10.00 - $0.25 = $9.75.
* Incorrect Options:
* A: $9.25 subtracts more than the dividend amount.
* C: $10.00 does not reflect the dividend adjustment.
* D: $10.25 adds to the price rather than subtracting the dividend.
SEC Guidance on Mutual Fund Pricing: SEC Mutual Funds.

NEW QUESTION # 161
......

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