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| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | Securities Industry Essentials Exam |
| Exam Number: | SIE |
| Certificate Validity Period: | 4 years |
| Exam Format: | Multiple Choice |
| Exam Duration: | 105 minutes |
| Available Languages: | English |
| Real Exam Qty: | 75 scored + 5 unscored pre-test |
| Passing Score: | 70% |
| Exam Price: | $100 USD |
| Related Certifications: | Series 86/87 Series 7 Series 57 Series 22 Series 6 Series 82 Series 79 |
| 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 # 343
A broker-dealer (BD) creates a marketing postcard that includes a statement regarding FINRA's endorsement of the BD. Which of the following responses is true?
Answer: A
Explanation:
Step by Step Explanation:
* FINRA Rule 2210: Firms are prohibited from suggesting or implying FINRA's endorsement or approval in any advertising materials.
* Approvals: Even if a principal or FINRA approves the content, such a statement remains impermissible.
* Key Point: FINRA's role is to regulate, not to endorse firms or their marketing.
:
FINRA Rule 2210 (Communications with the Public): FINRA Rule 2210.
NEW QUESTION # 344
SEC Regulation S-P (Consumer Privacy) requires certain information to be included in privacy notices delivered to customers of broker-dealers (BDs). Which of the following information is required to be included in the privacy notice?
Answer: C
Explanation:
Regulation S-P mandates that broker-dealers disclose how they collect, protect, and share customers' nonpublic personal information. The privacy notice must include:
* The categories of information collected.
* The firm's policies for safeguarding data.
* Opt-out rights for sharing information with unaffiliated third parties.
* D is correctbecause privacy notices must describe policies for protecting customer information.
* A,B, andCare incorrect because they do not relate to the required elements of Regulation S-P privacy notices.
NEW QUESTION # 345
Which of the following activities is a responsibility of a mutual fund transfer agent?
Answer: C
Explanation:
A transfer agent is responsible for maintaining accurate records of shareholder purchases, redemptions, and account balances. They also handle the issuance and cancellation of shares and ensure shareholders receive appropriate distributions.
* D is correct because maintaining shareholder records is a core duty of a transfer agent.
* A is incorrect because underwriting is the responsibility of a broker-dealer.
* B is incorrect because distributing the prospectus is handled by the fund's distributor.
* C is incorrect because custody of securities is the role of a custodian, not the transfer agent.
Reference: SIE Study Guide, Chapter 5: Investment Companies
NEW QUESTION # 346
A broker-dealer places a temporary hold on the disbursement of funds for a 67-year-old customer due to suspected financial exploitation. If there are no extensions granted, the hold will expire after no later than how many days?
Answer: C
Explanation:
A temporary hold placed due to suspected financial exploitation of a specified adult generally expires no later than 15 business days after the hold is first placed, unless an authorized extension applies. Choice D is correct. The customer is 67 years old, which falls within the specified adult category for senior financial exploitation protections. These rules allow a broker-dealer to delay a disbursement of funds or securities when the firm reasonably believes financial exploitation may be occurring. The hold is designed to protect vulnerable customers while the firm conducts a review, not to permanently block customer access. Choice A is incorrect because two business days is not the maximum hold period. Choice B and choice C are also incorrect because they understate the standard initial period. The SIE outline includes financial exploitation of seniors under prohibited activities and identifies FINRA Rule 2165, Financial Exploitation of Specified Adults. The regulatory focus is investor protection: firms may temporarily hold suspicious disbursements when exploitation is suspected, while following notice, review, and supervisory requirements. Reference:
Section 3.3.3 Other Prohibited Activities; FINRA Rule 2165 Financial Exploitation of Specified Adults.
NEW QUESTION # 347
Which of the following disclosures is a municipal securities dealer required to provide its customers once every calendar year?
Answer: C
Explanation:
Step by Step Explanation:
* MSRB Rule G-10: Requires municipal securities dealers to notify customers annually about the availability of the MSRB investor brochure, which explains investor protections and complaint filing procedures.
* Incorrect Options:
* A and B: Address and financial standing are not specifically required disclosures.
* C: FINRA violations are not a required disclosure under MSRB rules.
References:
* MSRB Rule G-10 (Investor Brochure Requirement): MSRB Rule G-10.
NEW QUESTION # 348
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