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FINRA SIE Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Knowledge of Capital Markets	16%	- Market Structure 1. Exchange markets vs. OTC markets 2. Types of markets (primary, secondary, third, fourth) 3. Market indices and economic indicators (e.g., GDP, GNP, exchange rates) - Regulatory Entities, Agencies and Market Participants 1. Role of the SEC, SROs (e.g., FINRA, MSRB), and other regulators 2. Role of broker-dealers, investment advisers, and other market participants - Offerings 1. Methods of distribution (e.g., best efforts, firm commitment) 2. Regulatory filing requirements and exemptions (e.g., SEC, blue-sky laws) 3. Roles of participants (e.g., investment bankers, underwriting syndicate, municipal advisors) 4. Types and purpose of offering documents (e.g., prospectus, official statement) 5. Shelf registrations and distributions 6. Types of offerings: public vs. private, IPO, secondary and follow-on offerings
Topic 2: Overview of the Regulatory Framework	9%	- 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. Supervision and compliance obligations 2. Registration and qualification requirements (FINRA Rule 1210) 3. Continuing education requirements
Topic 3: Understanding Products and Their Risks	44%	- Investment Risks 1. Interest rate risk and reinvestment risk 2. Political and currency risk 3. Market risk, credit risk, liquidity risk, inflation risk - Equity Securities 1. Control and restrictions (e.g., SEC Rule 144) 2. Ownership rights, voting rights, convertible features 3. Common stock, preferred stock, rights, warrants, ADRs - Debt Instruments 1. Money market instruments 2. Corporate bonds 3. Treasury securities (bills, notes, bonds, receipts) 4. Municipal securities (GO bonds, revenue bonds, short-term obligations) 5. Agency securities (asset-backed and mortgage-backed securities) - Options 1. Options strategies and associated risks 2. Basic options concepts (calls, puts, premiums, expiration) - Packaged Products 1. Exchange-traded funds (ETFs) 2. Variable annuities and variable life insurance 3. Real estate investment trusts (REITs) 4. Mutual funds (open-end and closed-end) 5. Direct participation programs (DPPs) - Alternative Investments 1. Hedge funds, private equity, and other alternative products 2. Risks associated with alternative investments
Topic 4: Understanding Trading, Customer Accounts and Prohibited Activities	31%	- Prohibited Activities 1. Insider trading and front running 2. Market manipulation (e.g., painting the tape, churning) 3. Unauthorized transactions and misrepresentation 4. Anti-money laundering (AML) requirements - Trading, Settlement and Corporate Actions 1. Order types (market, limit, stop orders) 2. Trade execution and settlement (e.g., T+1, T+2) 3. Corporate actions (dividends, stock splits, mergers) - 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)

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q249-Q254):

NEW QUESTION # 249
Which of the following statements is true regarding the ownership of investment company shares held as tenants in common?

A. Upon the death of a tenant, all shares in the account are taxable in the estate of the deceased.
B. All tenants must sign redemption requests.
C. Any income is distributed evenly among the tenants.
D. Each tenant has a fractional interest in the investment.

Answer: D

Explanation:
Step by Step Explanation:
* Tenants in Common: In this arrangement, each tenant owns a fractional interest in the account's assets, which can be unequal depending on the agreement.
* Income Distribution: Income is distributed based on ownership percentage, not necessarily equally.
* Redemption Requests: Only the owner of the fractional interest has authority to request redemption for their portion.
* Estate Taxation: Upon the death of a tenant, only their fractional interest is taxable in their estate.
:
FINRA Guidelines on Joint Accounts: FINRA Joint Accounts.

NEW QUESTION # 250
Which of the following statements describes a characteristic of Treasury securities?

A. They are FDIC-insured.
B. They are callable.
C. They are issued by the U.S. government with a high amount of default risk.
D. They are liquid.

Answer: D

Explanation:
Treasury securities are among the most liquid investments, as they are backed by the U.S. government and trade actively in large volumes.
* A is correctbecause Treasuries are highly liquid, making them easy to buy and sell.
* Bis incorrect because most Treasury securities are not callable.
* Cis incorrect because FDIC insurance applies to bank deposits, not Treasuries.
* Dis incorrect because U.S. government securities have negligible default risk.

NEW QUESTION # 251
A customer ' s portfolio is 100% invested in Government National Mortgage Association (Ginnie Mae) mortgage-backed securities. To which of the following risks is the customer exposed?

A. Liquidity
B. Credit
C. Currency
D. Inflation

Answer: D

Explanation:
The correct answer is B, Inflation risk. Government National Mortgage Association (GNMA or Ginnie Mae) securities are backed by the full faith and credit of the U.S. government, meaning they have virtually no credit risk. Investors are assured of receiving both principal and interest payments even if borrowers default, eliminating choice A.
However, like all fixed-income securities, Ginnie Mae mortgage-backed securities are subject to inflation risk, also known as purchasing power risk. Inflation erodes the real value of future interest payments and principal.
If inflation rises, the fixed payments received from these securities will be worth less in real terms, reducing the investor's effective return.
Choice C, Liquidity risk, is less applicable because GNMA securities are actively traded in the secondary market and generally have good liquidity. Choice D, Currency risk does not apply because these securities are denominated in U.S. dollars and are not exposed to foreign exchange fluctuations.
Additionally, while not listed as an answer choice, GNMA securities are also subject to prepayment risk, meaning homeowners may pay off their mortgages early when interest rates fall. However, among the given options, inflation risk is the most relevant, making choice B the correct answer.

NEW QUESTION # 252
Which of the following account registration types is subject to probate upon the death of the account owner?

A. Individual
B. Joint tenants with right of survivorship (JTWROS)
C. Irrevocable trust
D. Transfer-on-death (TOD)

Answer: A

Explanation:
Accounts held individually are subject to probate, which is the legal process of administering the decedent's estate. Probate determines the distribution of assets according to the deceased's will or state intestacy laws.
* A is correctbecause individual accounts require probate to transfer assets.
* Bis incorrect because irrevocable trusts bypass probate.
* Cis incorrect because TOD accounts allow direct transfer of assets to named beneficiarieswithout probate.
* Dis incorrect because JTWROS accounts transfer ownership to the surviving account holder automatically.

NEW QUESTION # 253
Assuming yields are held constant, which of the following statements describes what will occur as a discount bond reaches maturity?

A. Its price increases.
B. Its price decreases.
C. Its par value decreases.
D. Its par value increases.

Answer: A

Explanation:
Step by Step Explanation:
* Discount Bonds: These are issued or traded below par value. Over time, their price moves closer to par as they approach maturity, assuming yields remain constant.
* Other Options:
* Par Value Changes: The par value of a bond does not change over time; only its price fluctuates.
:
SEC and FINRA Bond Basics: SEC Discount Bonds.

NEW QUESTION # 254
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