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FINRA SIE Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Overview of the Regulatory Framework9%- 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
- FINRA Rules and Registration Requirements
  • 1. Continuing education requirements
  • 2. Supervision and compliance obligations
  • 3. Registration and qualification requirements (FINRA Rule 1210)
Topic 2: Knowledge of Capital Markets16%- Regulatory Entities, Agencies and Market Participants
  • 1. Role of broker-dealers, investment advisers, and other market participants
  • 2. Role of the SEC, SROs (e.g., FINRA, MSRB), and other regulators
- 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. Roles of participants (e.g., investment bankers, underwriting syndicate, municipal advisors)
  • 4. Shelf registrations and distributions
  • 5. Regulatory filing requirements and exemptions (e.g., SEC, blue-sky laws)
  • 6. Methods of distribution (e.g., best efforts, firm commitment)
- Market Structure
  • 1. Market indices and economic indicators (e.g., GDP, GNP, exchange rates)
  • 2. Types of markets (primary, secondary, third, fourth)
  • 3. Exchange markets vs. OTC markets
Topic 3: Understanding Products and Their Risks44%- Alternative Investments
  • 1. Risks associated with alternative investments
  • 2. Hedge funds, private equity, and other alternative products
- Investment Risks
  • 1. Interest rate risk and reinvestment risk
  • 2. Market risk, credit risk, liquidity risk, inflation risk
  • 3. Political and currency risk
- Packaged Products
  • 1. Exchange-traded funds (ETFs)
  • 2. Mutual funds (open-end and closed-end)
  • 3. Real estate investment trusts (REITs)
  • 4. Variable annuities and variable life insurance
  • 5. Direct participation programs (DPPs)
- Debt Instruments
  • 1. Agency securities (asset-backed and mortgage-backed securities)
  • 2. Treasury securities (bills, notes, bonds, receipts)
  • 3. Municipal securities (GO bonds, revenue bonds, short-term obligations)
  • 4. Corporate bonds
  • 5. Money market instruments
- Equity Securities
  • 1. Ownership rights, voting rights, convertible features
  • 2. Control and restrictions (e.g., SEC Rule 144)
  • 3. Common stock, preferred stock, rights, warrants, ADRs
- Options
  • 1. Basic options concepts (calls, puts, premiums, expiration)
  • 2. Options strategies and associated risks
Topic 4: Understanding Trading, Customer Accounts and Prohibited Activities31%- Trading, Settlement and Corporate Actions
  • 1. Order types (market, limit, stop orders)
  • 2. Corporate actions (dividends, stock splits, mergers)
  • 3. Trade execution and settlement (e.g., T+1, T+2)
- Prohibited Activities
  • 1. Unauthorized transactions and misrepresentation
  • 2. Insider trading and front running
  • 3. Market manipulation (e.g., painting the tape, churning)
  • 4. Anti-money laundering (AML) requirements
- Customer Accounts
  • 1. Types of accounts (individual, joint, retirement, custodial)
  • 2. Margin accounts and Regulation T
  • 3. Account opening requirements and documentation
  • 4. Customer protection rules (e.g., SIPC, Rule 15c3-3)

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素敵なFINRA SIE復習テキスト & 合格スムーズSIE日本語講座 | 最新のSIE独学書籍

Japancertは生徒を常に惹きつけ、FINRA熱心な顧客からの世界的なフィードバックの進歩に情熱を移します。SIE試験で彼らが夢をかなえるためにこの分野でナンバーワンであることを証明します。 SIE試験問題の質の高さを保証しているため、SIE練習教材はより優れた教育効果をもたらします。 また、学習の後方情報の蓄積が生徒に大きな負担を感じさせる代わりに、最新のSIE試験ガイドは、あらゆる種類の生徒の有効性または正確性のニーズを満たすことができます。

FINRA Securities Industry Essentials Exam (SIE) 認定 SIE 試験問題 (Q238-Q243):

質問 # 238
In performing fundamental analysis of an equity, which of the following elements should an investor consider?

正解：D

解説：
Fundamental analysis focuses on evaluating a company's underlying business and financial condition to estimate its intrinsic value. The most direct and essential inputs for fundamental analysis are the company's financial statements, which is why C is correct. Financial statements-primarily the balance sheet, income statement, and cash flow statement-help an investor assess profitability, financial strength, leverage, liquidity, and cash generation. From these statements, investors can derive ratios and measures such as earnings growth, profit margins, debt-to-equity, current ratio, and operating cash flow trends, all of which help evaluate whether the stock is undervalued or overvalued relative to the company's fundamentals.
Choices A, B, and D are all technical analysis concepts, not fundamental analysis. Chart patterns (A) and resistance/support levels (D) are based on historical price behavior and market psychology. A moving average (B) is a technical indicator that smooths price data to identify trends and potential entry/exit signals. While technical tools can be used by traders, they do not analyze the company's earnings capacity, competitive position, or financial stability.
On the SIE, the distinction is commonly tested:
* Fundamental analysis = company/industry/economic factors and financial statement evaluation
* Technical analysis = price/volume patterns and indicators
If the question asks what an investor should consider for fundamental analysis, you should immediately look for items tied to the company's business performance and financial health-most directly, financial statements.


質問 # 239
Which of the following statements is permissible for a registered representative (RR) to say to their customer?

正解：B

解説：
The permissible statement is C because it reflects a suitability-style recommendation that is grounded in the customer's investment profile-risk tolerance, objectives, and liquidity needs-without making improper guarantees or misleading claims. FINRA standards for communications and conduct require that recommendations be based on a reasonable basis and customer-specific suitability considerations. Statement C is framed as a professional recommendation after considering relevant customer factors, which is consistent with expected RR behavior.
Statement A is not permissible as written because it makes a misleading inference: a beta of 2.0 indicates higher volatility relative to the market, not guaranteed outperformance. Beta measures sensitivity to market movements; it does not promise superior returns. Claiming it "therefore will outperform" is unjustified and could be misleading.
Statement B is impermissible because it promises reimbursement in the event of a loss-this is effectively a guarantee against loss, which is prohibited. Broker-dealers and associated persons cannot guarantee investment results or reimburse losses as part of sales communications.
Statement D is also impermissible because it contains an explicit guarantee against any downside and implies that a particular investment is "low-risk" in a way that can be misleading. Guarantees against loss (outside of very limited contexts like certain insurance guarantees within the contract terms of specific products) are prohibited in broker-dealer sales practice communications.
On the SIE, this is tested under communications with the public, prohibited practices, and ethical standards:
RRs must avoid guarantees and misleading performance assertions, while basing recommendations on customer needs and suitability considerations.


質問 # 240
Which of the following functions is a responsibility of the IRS?

正解：C


質問 # 241
Which of the following transactions gives a U.S. citizen the most efficient means to invest in the stock of an overseas corporation that trades only on a foreign exchange?

正解：C

解説：
American Depositary Receipts (ADRs) allow U.S. investors to efficiently invest in foreign corporations without the need to trade on foreign exchanges. ADRs are traded on U.S. exchanges and represent shares of foreign companies.
* D is correct because ADRs are designed for this purpose, simplifying currency exchange and reporting requirements for U.S. investors.
* A is incorrect because directly purchasing an ETF on a foreign exchange requires additional steps, such as foreign account setup.
* B is incorrect because options are derivative products, not direct investments in the stock.
* C is less efficient because mutual funds may not provide direct exposure to the specific corporation.
Reference: SIE Study Guide, Chapter 7: ADRs


質問 # 242
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?

正解：A

解説：
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.


質問 # 243
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