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FINRA SIE Exam Overview:

Certification Vendor:	FINRA
Exam Name:	Securities Industry Essentials Exam
Exam Number:	SIE
Available Languages:	English
Real Exam Qty:	75 scored + 5 unscored pre-test
Certificate Validity Period:	4 years
Exam Price:	$100 USD
Exam Duration:	105 minutes
Related Certifications:	Series 86/87 Series 7 Series 6 Series 79 Series 82 Series 57 Series 22
Exam Format:	Multiple Choice
Passing Score:	70%
Recommended Training:	FINRA SIE Content Outline & Study Materials
Exam Registration:	Prometric Testing FINRA Official Registration
Sample Questions:	FINRA SIE Sample Questions
Exam Way:	Computer-based; available in-person at Prometric test centers or online remote proctoring
Pre Condition:	Minimum age 18; no firm sponsorship or prior employment required; open to all individuals
Official Syllabus URL:	https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam

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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 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.
Topic 2	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 3	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.
Topic 4	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 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.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q173-Q178):

NEW QUESTION # 173
Which of the following types of investment companies raise money by issuing a fixed number of shares through an initial public offering (IPO), actively manage their portfolios and trade their shares on a stock exchange?

A. Closed-end funds
B. Open-end funds
C. Variable annuities
D. Unit investment trusts (UITs)

Answer: A

Explanation:
The description matches closed-end funds, making choice B correct. Closed-end investment companies raise capital by issuing a fixed number of shares, typically through an IPO (or subsequent offerings in some cases).
After the initial issuance, investors generally buy and sell shares of the closed-end fund in the secondary market, most commonly on a stock exchange, at market prices determined by supply and demand. Closed-end funds are typically actively managed, though some may follow rules-based strategies.
This differs from open-end mutual funds (choice A), which continuously issue and redeem shares directly with investors at net asset value (NAV) (plus/minus applicable sales charges). Open-end funds do not have a fixed number of shares; the number of shares outstanding changes every day as investors purchase and redeem. Variable annuities (choice C) are insurance products with subaccounts that resemble mutual funds, but they are not investment companies that issue exchange-traded shares via an IPO. UITs (choice D) do issue redeemable units and have a defined portfolio, but they are not actively managed-the portfolio is generally fixed, and the UIT terminates on a stated date.
A key SIE concept embedded here is that closed-end funds often trade at a premium or discount to NAV, unlike open-end funds that transact at NAV. The exchange-traded nature also means investors may pay brokerage commissions and face bid-ask spreads, and their execution price depends on market trading- important distinctions in cost and liquidity compared to open-end funds.

NEW QUESTION # 174
On settlement date, a customer is unable to pay for a purchase in his cash account. His position is liquidated.
Which of the following statements is true according to Federal Reserve Regulation T?

A. The customer is barred from trading for 30 days.
B. All related accounts are frozen for 90 days.
C. The customer's account is frozen for 90 days.
D. Only closing transactions are permitted.

Answer: C

Explanation:
Federal Reserve Regulation T mandates that customers must pay for purchases in a cash account within two business days of settlement (T+4). If payment is not made, the brokerage firm must liquidate the securities and place the account on a 90-day restriction.
* C is correctbecause the customer's account is frozen for 90 days, during which all trades must be paid for in advance.
* Ais incorrect as closing transactions are still permitted but require prepayment.
* Bis incorrect because the restriction lasts for 90 days, not 30.
* Dis incorrect as only the delinquent account, not related accounts, is frozen.

NEW QUESTION # 175
Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities, which of the following conditions must be met?

A. The affiliate must have a holding period of six months.
B. The issuer must notify FINRA of the proposed sale by submitting a Form 144.
C. The company must be traded on a listed stock exchange.
D. The shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.

Answer: A

Explanation:
Step by Step Explanation:
* Rule 144 Holding Period: Restricted securities held by affiliates require a six-month holding period before sale, provided the issuer is subject to SEC reporting requirements.
* Other Options:
* Notification to FINRA (C) is incorrect; Form 144 is submitted to the SEC, not FINRA.
* The 10% ADTV limitation (D) applies to the volume of shares sold, not the conditions for sale.
:
SEC Rule 144 (Selling Restricted Securities): SEC Rule 144.

NEW QUESTION # 176
When is a newly registered person subject to the Continuing Education Regulatory Element requirement?

A. The calendar year following initial registration
B. Every three years after the date of registration
C. Every five years
D. On the anniversary date of initial registration

Answer: D

Explanation:
Step by Step Explanation:
* Regulatory Element Requirement: Newly registered persons must complete the Continuing Education (CE) Regulatory Element on the second anniversary of their initial registration and every three years thereafter.
* Incorrect Options:
* A: The requirement begins on the second anniversary, not the following calendar year.
* D: The cycle is every three years, not five.
:
FINRA Rule 1240 (Continuing Education): FINRA Rule 1240.

NEW QUESTION # 177
Under Industry rules, what is the maximum price that qualifies a security as a penny stock?

A. $0.50
B. $0.10
C. $5.00
D. $i.00

Answer: C

NEW QUESTION # 178
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