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FINRA SIE 시험요강:

주제	소개
주제 1	Understanding Products and Their Risks: This section of the exam measures the skills of Investment Analysts and examines different financial products and associated risks. Candidates must understand equity securities, including common stock, as well as debt instruments such as Treasury securities and mortgage-backed securities.
주제 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.
주제 3	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.
주제 4	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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최신 General Securities Representative SIE 무료샘플문제 (Q240-Q245):

질문 # 240
Which of the following types of accounts permits an investor to borrow money from a broker-dealer to help pay for a trade?

A. Margin
B. Cash
C. An individual retirement account (IRA)
D. Delivery versus payment (DVP) / receive versus payment (RVP)

정답：A

설명：
Step by Step Explanation:
* Margin Accounts: Allow investors to borrow funds to purchase securities, with the securities serving as collateral for the loan.
* Cash Accounts: Require full payment for securities purchased.
* IRAs: Do not permit borrowing due to their tax-advantaged status.
* DVP/RVP: Settlement mechanisms, not account types for borrowing.
FINRA Rule 4210 (Margin Requirements): FINRA Rule 4210.

질문 # 241
Which of the following discretionary decisions is a registered representative permitted to make on the day oral authorization is received?

A. Whether to buy or sell and the number of shares
B. Selection of the security and timing of the order
C. Timing and execution price of the purchase or sale
D. Whether to buy or sell and the execution price

정답：C

설명：
A registered representative may exercise limited discretion over the timing and price of an order on the day the customer gives oral authorization. This is often called time-and-price discretion. It does not require the same written discretionary account authorization as full discretion, provided the customer has specified the essential terms of the trade and the discretion is exercised only on that trading day. Choice D is correct. A representative may not independently decide whether to buy or sell without discretionary authority because that changes the fundamental action. The representative also may not independently choose the security or the number of shares without proper written discretionary authorization and supervisory acceptance. Choices A, B, and C therefore involve material investment decisions that exceed time-and-price discretion. The SIE outline includes discretionary versus non-discretionary accounts, order types, solicited versus unsolicited trades, and FINRA Rule 3260 on discretionary accounts. The key technical distinction is that full discretion includes action, asset, or amount, while temporary oral discretion is limited to execution timing and price only. Reference: Understanding Trading, Customer Accounts and Prohibited Activities; Orders and Strategies; Discretionary Accounts; FINRA Rule 3260.

질문 # 242
Which of the following statements describes the composition of FINRA arbitration panels for customer disputes?

A. All arbitrators are practicing attorneys.
B. All arbitrators are employed in the securities industry.
C. Arbitrators are randomly chosen from a pool established jointly by the claimant and the respondent.
D. Panels are permitted to be a combination of industry and public arbitrators.

정답：D

설명：
The correct answer is C, Panels are permitted to be a combination of industry and public arbitrators. FINRA arbitration panels are designed to ensure fairness and neutrality in resolving disputes between customers and broker-dealers.
Step-by-step, FINRA classifies arbitrators into two main categories:
* Public arbitrators, who have no significant ties to the securities industry
* Industry arbitrators, who have experience working within the securities industry For customer disputes, panels may include a mix of these arbitrators. In many cases, especially for larger claims, panels consist of two public arbitrators and one industry arbitrator, though customers may request an all-public panel.
Choice A is incorrect because arbitrators are not required to be attorneys. Choice B is incorrect because not all arbitrators come from the securities industry-public arbitrators are specifically included to provide impartiality. Choice D is incorrect because arbitrators are selected from a FINRA-provided roster, and while parties can rank and strike candidates, they do not jointly create the pool.
Thus, FINRA arbitration panels are intentionally structured as a combination of public and industry arbitrators, ensuring balanced perspectives, making Answer C correct.

질문 # 243
Which of the following activities is a responsibility of a mutual fund transfer agent?

A. Maintaining records of shareholder purchases and redemptions
B. Maintaining custody of the fund's securities
C. Distributing the fund's prospectus to investors
D. Underwriting new shares of securities

정답：A

설명：
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 correctbecause maintaining shareholder records is a core duty of a transfer agent.
* Ais incorrect because underwriting is the responsibility of a broker-dealer.
* Bis incorrect because distributing the prospectus is handled by the fund's distributor.
* Cis incorrect because custody of securities is the role of a custodian, not the transfer agent.

질문 # 244
A partnership has had poor results, and a limited partner is concerned about the extent of her potential losses.
Which of the following statements regarding her exposure is true?

A. She must absorb the losses of the partnership even beyond the capital invested.
B. The general partner and limited partner share proportionately in the losses.
C. She cannot lose more than the capital she invested.
D. The general partner assumes half of the losses, and the limited partners share the remaining half in proportion to their investment.

정답：C

설명：
A limited partner's liability is generally limited to the amount of capital invested in the partnership. This limited liability is a defining feature of limited partnership interests and direct participation programs. Choice A is correct. The general partner manages the partnership and typically has unlimited liability for partnership obligations, while limited partners are passive investors who do not participate in management. If a limited partner exercises control over the business, the limited liability protection may be compromised, but that is not stated in the question. Choice B incorrectly imposes unlimited loss exposure on the limited partner.
Choice C is too broad because legal liability is not shared equally or proportionately in the same way between general and limited partners. Choice D invents a loss-sharing rule that does not describe limited partnership liability. The SIE outline includes direct participation programs, limited partnerships, pass-through tax treatment, illiquidity, and unlisted characteristics. It also includes investment risks and product structure. This question tests the distinction between economic loss of invested capital and legal liability beyond the investment. Reference: Section 2.1.6 Direct Participation Programs.

질문 # 245
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