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FINRA SIE Prüfungsplan:

Thema	Einzelheiten
Thema 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.
Thema 2	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.
Thema 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.
Thema 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.
Thema 5	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.

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FINRA Securities Industry Essentials Exam (SIE) SIE Prüfungsfragen mit Lösungen (Q24-Q29):

24. Frage
Which of the following statements best describes an American Depositary Receipt (ADR)?

A. ADRs trade like U.S. issues and are quoted in foreign currency.
B. ADRs represent shares of a foreign security held in foreign commercial banks.
C. ADRs represent shares of a U.S. security held in foreign commercial banks.
D. ADRs trade like U.S. issues and are quoted in U.S. dollars.

Antwort: D

Begründung:
Step by Step Explanation:
* ADRs: Represent foreign securities but are issued in the U.S. and quoted in U.S. dollars, making them easier for American investors to trade.
* Incorrect Options:
* B: ADRs are quoted in U.S. dollars, not foreign currencies.
* C & D: ADRs represent foreign securities held by U.S. banks, not foreign banks.
References:
* SEC Bulletin on ADRs: SEC ADR Overview.

25. Frage
Which of the following statements is true of a tax-free municipal revenue bond?

A. The bondholders are entitled to be paid only from a specified source of revenue received by the issuer.
B. The bondholders are entitled to be paid from any revenue received by the issuer.
C. The bondholders are entitled to a specified percentage of the revenue received by the issuer each year.
D. The bond proceeds are treated as general revenue to the issuer.

Antwort: A

Begründung:
A municipal revenue bond is secured by and payable from a specific source of revenue, such as tolls from a bridge, fares from a transit system, fees from a water/sewer utility, or revenues from an airport authority.
Bondholders rely on that pledged revenue stream rather than the issuer's general taxing power. That is why the correct statement is C: bondholders are entitled to be paid only from a specified source of revenue.
Choice A is incorrect because revenue bond proceeds are typically earmarked for the project or enterprise, and repayment is not treated as "general revenue" in the GO sense. Choice B is incorrect because bondholders do not have a claim on any revenue of the issuer; that description aligns more with general obligation backing or a broad pledge. Choice D is incorrect because bondholders are owed debt service per the bond's terms (interest and principal), not a "specified percentage" of issuer revenue.
The phrase "tax-free" refers to the typical federal tax-exempt status of municipal bond interest (subject to exceptions), but it does not change the fundamental revenue bond structure: repayment depends on the project' s performance and revenue collection. This is a key SIE distinction between GO bonds (supported by full faith and credit/taxing power) and revenue bonds (supported by a designated revenue stream).

26. Frage
A selling group member in an initial public offering (IPO) has the primary responsibility for which of the following obligations related to the IPO ' s prospectus?

A. Ensuring that the prospectus is filed with the SEC
B. Ensuring that the information in the prospectus is accurate and complete
C. Distributing the prospectus to prospective investors
D. Preparing the prospectus

Antwort: C

Begründung:
The correct answer is B, Distributing the prospectus to prospective investors. In an IPO, responsibilities are divided among various participants, including the issuer, underwriters, and selling group members. A selling group member is part of the distribution network and is primarily responsible for selling the securities to the public and delivering the prospectus to potential investors.
The prospectus is a legal disclosure document that must be provided to investors before or at the time of sale.
Selling group members play a key role in ensuring that investors receive this document so they can make informed decisions.
Choice A, preparing the prospectus, is the responsibility of the issuer, along with assistance from the lead underwriter and legal counsel. Choice C, ensuring filing with the SEC, is also the issuer's responsibility.
Choice D, ensuring accuracy and completeness, falls on the issuer and underwriters, who are liable for disclosures under securities laws.
Thus, the selling group's primary role is distribution, not creation or verification of the prospectus. Therefore, choice B is correct.

27. Frage
A customer owns 200 shares of Corporation ABC, which recently announced a 1-for-2 reverse stock split. If the closing price of ABC is $14 on the day before the split, what will this customer's ABC holdings be immediately after the split?

A. 200 shares at $28 per share
B. 100 shares at $14 per share
C. 400 shares at $7 per share
D. 100 shares at $28 per share

Antwort: D

Begründung:
A 1-for-2 reverse stock split reduces the number of shares outstanding by half while proportionally increasing the share price. The investor's total market value does not change solely because of the split. Before the reverse split, the customer owns 200 shares at $14 per share, for a total market value of $2,800. After a 1-for-
2 reverse split, every two old shares become one new share. Therefore, the customer's 200 shares become 100 shares. To preserve the same total value, the price doubles from $14 to $28. The post-split position is 100 shares at $28 per share, still worth $2,800. Choice B is correct. Choice A incorrectly reduces the shares without adjusting the price. Choice C adjusts only the price but not the share count. Choice D describes the effect of a forward split, not a reverse split. The SIE outline specifically includes stock splits and reverse stock splits under corporate actions and requires knowledge of their impact on market price and cost basis.
Reference: Section 3.1.4 Corporate Actions.

28. Frage
An investor decides to use a registered representative to make investment decisions for his account, as well as decide when to place any trades. Which of the following types of accounts should the investor open?

A. Custodial
B. Margin
C. Discretionary
D. Options

Antwort: C

29. Frage
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