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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 1	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.
Topic 2	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.
Topic 3	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.
Topic 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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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q222-Q227):

NEW QUESTION # 222
A registered representative (RR) intends to enter into an arrangement for compensation with an unaffiliated entity to participate in the sale of promissory notes to the general public. Which of the following statements is true?

A. The RR must receive written approval from his firm prior to entering into this arrangement.
B. The RR is required to notify his firm regarding this arrangement if compensation received is directly related to transactions.
C. This is a permissible arrangement, and the RR is only required to notify his firm.
D. The RR is not required to provide prior notice to his firm as promissory notes are not considered securities.

Answer: A

Explanation:
Step by Step Explanation:
* Private Securities Transactions: Under FINRA Rule 3280, RRs must obtain written approval from their employing firm before participating in the sale of securities outside the firm.
* Promissory Notes: These are typically considered securities, requiring prior approval.
* Incorrect Options:
* A & C: Notification alone is insufficient; written approval is required.
* D: Promissory notes are generally treated as securities under federal law.
:
FINRA Rule 3280 (Private Securities Transactions): FINRA Rule 3280.

NEW QUESTION # 223
SEC regulations permit a company to issue securities exempted from registration requirements of the Securities Act of 1933 under which of the following conditions?

A. Offerings with no more than 35 non-accredited investors and an unlimited number of accredited investors
B. Offerings sold with no more than 40 accredited investors
C. Offerings sold inside of the U.S. to non-U.S. persons
D. Offerings sold with an aggregate price exceeding $5 million

Answer: A

Explanation:
Step by Step Explanation:
Regulation D (Rule 506(b)): Allows offerings to an unlimited number of accredited investors and up to 35 non-accredited investors, provided certain disclosure requirements are met.
Incorrect Options:
A: Refers to Regulation S, which governs offshore offerings, not domestic exemptions.
B: There is no 40-investor limit in Regulation D.
C: The $5 million limit applies to Rule 504, not Rule 506(b).
SEC Regulation D: SEC Regulation D.

NEW QUESTION # 224
Which of the following characteristics is found in both qualified and nonqualified retirement plans?

A. Nondiscrimination
B. Tax deferral
C. Tax deduction
D. Creditor protection

Answer: B

Explanation:
The correct answer is A, Tax deferral. Both qualified and nonqualified retirement plans share the feature of tax-deferred growth, meaning that earnings within the account are not taxed until they are withdrawn.
Step-by-step, in qualified plans (such as 401(k)s), contributions are often made with pre-tax dollars, and taxes are deferred until distribution. In nonqualified plans (such as annuities or certain deferred compensation plans), contributions are typically made with after-tax dollars, but the earnings still grow tax-deferred. This shared feature is the key similarity between the two types of plans.
Choice B, tax deduction, applies mainly to qualified plans, where contributions may be tax-deductible.
Nonqualified plans generally do not offer this benefit. Choice C, nondiscrimination, is a requirement only for qualified plans to ensure fairness among employees and prevent favoring highly compensated individuals.
Choice D, creditor protection, is typically stronger in qualified plans under ERISA, but not consistently available in nonqualified plans.
Therefore, the only characteristic common to both qualified and nonqualified retirement plans is tax-deferred growth, making Answer A correct.

NEW QUESTION # 225
Which of the following is considered nonpublic information?

A. Customer's address
B. Customer's net worth
C. Customer's name
D. Customer's telephone number

Answer: B

Explanation:
Step by Step Explanation:
* Nonpublic Information: A customer's net worth is nonpublic personal information that requires confidentiality under Regulation S-P.
* Incorrect Options:
* A, B, and D: Names, addresses, and phone numbers may be public unless linked to specific financial or personal details.
SEC Regulation S-P (Privacy of Consumer Financial Information): SEC Regulation S-P.

NEW QUESTION # 226
What is the current yield of a bond trading at $1,100 with a par value of $1,000 and coupon of 8.00%?

A. 8.00%
B. 7.27%
C. 7.77%
D. 7.00%

Answer: B

Explanation:
The correct answer is B, 7.27%. Current yield measures the annual income (coupon interest) relative to the bond's current market price, not its par value.
Step-by-step calculation:
* First, determine the annual interest payment (coupon):Coupon rate × Par value = 8% × $1,000 = $80 annual interest
* Next, divide the annual interest by the current market price:Current yield = Annual interest / Market price= $80 / $1,100
* Perform the calculation:$80 ÷ $1,100 = 0.0727, or 7.27%
This result shows that when a bond trades at a premium (above par), its current yield is lower than the coupon rate. This is because investors are paying more than $1,000 but still only receiving $80 annually.
Choice A (7.00%) is incorrect because it underestimates the yield. Choice C (7.77%) is incorrect and does not match the formula. Choice D (8.00%) represents the coupon rate, not the current yield.
Thus, the correct current yield is 7.27%, making Answer B correct.

NEW QUESTION # 227
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P.S. Free 2026 FINRA SIE dumps are available on Google Drive shared by DumpsKing: https://drive.google.com/open?id=1EU6edaYN_cadXQZS36MYuzlgU26BmXmg