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FINRA SIE Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Overview of the Regulatory Framework	9%	- Securities Acts and Regulations 1. Securities Investor Protection Act of 1970 (SIPA) 2. Investment Company Act of 1940 and Investment Advisers Act of 1940 3. Securities Act of 1933 and Securities Exchange Act of 1934 - FINRA Rules and Registration Requirements 1. Supervision and compliance obligations 2. Registration and qualification requirements (FINRA Rule 1210) 3. Continuing education requirements
Topic 2: Knowledge of Capital Markets	16%	- Offerings 1. Roles of participants (e.g., investment bankers, underwriting syndicate, municipal advisors) 2. Shelf registrations and distributions 3. Regulatory filing requirements and exemptions (e.g., SEC, blue-sky laws) 4. Methods of distribution (e.g., best efforts, firm commitment) 5. Types of offerings: public vs. private, IPO, secondary and follow-on offerings 6. Types and purpose of offering documents (e.g., prospectus, official statement) - Market Structure 1. Types of markets (primary, secondary, third, fourth) 2. Exchange markets vs. OTC markets 3. Market indices and economic indicators (e.g., GDP, GNP, exchange rates) - 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
Topic 3: Understanding Products and Their Risks	44%	- Debt Instruments 1. Corporate bonds 2. Money market instruments 3. Municipal securities (GO bonds, revenue bonds, short-term obligations) 4. Agency securities (asset-backed and mortgage-backed securities) 5. Treasury securities (bills, notes, bonds, receipts) - Investment Risks 1. Market risk, credit risk, liquidity risk, inflation risk 2. Interest rate risk and reinvestment risk 3. Political and currency risk - Options 1. Options strategies and associated risks 2. Basic options concepts (calls, puts, premiums, expiration) - Alternative Investments 1. Hedge funds, private equity, and other alternative products 2. Risks associated with alternative investments - Equity Securities 1. Common stock, preferred stock, rights, warrants, ADRs 2. Ownership rights, voting rights, convertible features 3. Control and restrictions (e.g., SEC Rule 144) - Packaged Products 1. Exchange-traded funds (ETFs) 2. Variable annuities and variable life insurance 3. Mutual funds (open-end and closed-end) 4. Direct participation programs (DPPs) 5. Real estate investment trusts (REITs)
Topic 4: Understanding Trading, Customer Accounts and Prohibited Activities	31%	- Customer Accounts 1. Account opening requirements and documentation 2. Margin accounts and Regulation T 3. Types of accounts (individual, joint, retirement, custodial) 4. Customer protection rules (e.g., SIPC, Rule 15c3-3) - Prohibited Activities 1. Anti-money laundering (AML) requirements 2. Unauthorized transactions and misrepresentation 3. Market manipulation (e.g., painting the tape, churning) 4. Insider trading and front running - 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)

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q70-Q75):

NEW QUESTION # 70
Which of the following statements describes a violation of industry standards of conduct?

A. An RR ' s cousin purchases shares of an initial public offering (IPO).
B. An RR purchases a stock based on a published research report prepared by her firm.
C. A firm hires a registered representative (RR) with a 15-year-old felony conviction.
D. An RR takes a second job as a bartender without notifying her firm.

Answer: D

Explanation:
The correct answer is C, An RR takes a second job as a bartender without notifying her firm. This is a violation of FINRA rules regarding outside business activities (OBAs). Registered representatives are required to provide prior written notice to their firm before engaging in any outside employment, regardless of whether it is related to the securities industry. The firm must then evaluate whether the activity presents a conflict of interest.
Step-by-step, FINRA Rule 3270 governs OBAs and ensures firms can supervise potential conflicts or reputational risks. Failure to notify the firm prevents proper supervision and is therefore a clear violation.
Choice A is not a violation because a felony conviction older than 10 years does not automatically disqualify an individual from registration under statutory disqualification rules. Choice B is not a violation because a cousin is not considered an immediate family member under IPO restricted persons rules, so the purchase is permitted. Choice D is also not a violation, provided the research report is publicly available and the RR follows firm policies regarding personal trading.
Thus, failing to disclose outside employment is a direct breach of industry conduct standards, making Answer C correct.

NEW QUESTION # 71
An investor owns 100 shares of a company's stock and is very interested in electing a particular individual to the board of directors of the corporation. There are 20 individuals running to fill 10 board seats. If the corporation uses the cumulative voting method, what is the maximum number of votes the investor is permitted to cast for this particular director?

A. 2,000 votes
B. 50 votes
C. 1,000 votes
D. 100 votes

Answer: C

Explanation:
In cumulative voting, shareholders can allocate all their votes to a single candidate. The total number of votes is calculated by multiplying the number of shares owned by the number of seats available:
* Total votes = 100 shares × 10 seats = 1,000 votes.
* The investor can allocate all votes to one candidate.
* C is correct because cumulative voting allows all votes to be concentrated.
Reference: SIE Study Guide, Chapter 5: Corporate Governance

NEW QUESTION # 72
Which of the following statements is true regarding the SEC's characterization of a registration statement that has just been made effective?

A. The SEC has approved the security being offered for sale.
B. The SEC has found the information presented to be true and accurate.
C. The SEC has not passed judgment on the merits of the security being offered for sale.
D. The SEC has determined that no material information has been omitted.

Answer: C

Explanation:
Step by Step Explanation:
* SEC Registration Statements: The SEC reviews registration statements for completeness and compliance but does not judge the merits, approve, or endorse the securities being offered.
* Other Options:
* A, B, and C: Misrepresent the SEC's role in the registration process.
SEC Bulletin on Registration Statements: SEC Registration Process.

NEW QUESTION # 73
Which of the following assets in an account must a broker-dealer maintain physical possession or control of unless there is an exemption?

A. All securities in the account
B. The entire brokerage account
C. Fully paid-for securities in the account only
D. Fully paid-for and excess margin securities in the account

Answer: D

Explanation:
Broker-dealers are subject to customer protection requirements that include the obligation to maintain physical possession or control of certain customer securities. Specifically, firms generally must maintain possession or control of fully paid-for securities and excess margin securities (unless an exemption applies).
That is why D is correct. The concept is investor protection: ensuring that customer securities are safeguarded and readily available, rather than being improperly used by the firm or exposed to unnecessary risk.
"Fully paid-for" securities are securities that a customer has paid for in full and therefore should not be encumbered by the firm. "Excess margin" securities are those with a market value greater than what is necessary to support the customer's margin debit. Because these securities represent customer property beyond what is needed as collateral, regulators require heightened safeguards-possession or control-so the firm cannot freely rehypothecate or otherwise misuse them beyond permitted limits.
Choice A is too broad; while many securities are protected, not all securities in an account fall under the same possession-or-control requirement in the same way, especially when margin collateral rules allow certain use within limits. Choice B is nonsensical because "the entire brokerage account" is not an asset and cannot be physically possessed. Choice C is incomplete because it ignores the "excess margin securities" component, which is explicitly included in the standard phrasing of this requirement.
For SIE purposes, this is tested as part of custody/safeguarding rules, customer protection concepts, and firm obligations relating to holding customer assets.

NEW QUESTION # 74
Which of the following statements best describes a characteristic of 529 savings plan accounts?

A. The number of contributors to the account is limited.
B. Earnings are taxed to the donor at the time of a qualified withdrawal.
C. Using funds for undergraduate or graduate studies is permissible.
D. There are no contribution limits to the account.

Answer: C

NEW QUESTION # 75
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