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FINRA SIE Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Understanding Products and Their Risks44%- Alternative Investments
  • 1. Hedge funds, private equity, and other alternative products
  • 2. Risks associated with alternative investments
- Packaged Products
  • 1. Variable annuities and variable life insurance
  • 2. Direct participation programs (DPPs)
  • 3. Exchange-traded funds (ETFs)
  • 4. Mutual funds (open-end and closed-end)
  • 5. Real estate investment trusts (REITs)
- 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. Agency securities (asset-backed and mortgage-backed securities)
  • 5. Municipal securities (GO bonds, revenue bonds, short-term obligations)
- Investment Risks
  • 1. Market risk, credit risk, liquidity risk, inflation risk
  • 2. Political and currency risk
  • 3. Interest rate risk and reinvestment risk
- Options
  • 1. Basic options concepts (calls, puts, premiums, expiration)
  • 2. Options strategies and associated risks
Topic 2: Knowledge of Capital Markets16%- Market Structure
  • 1. Exchange markets vs. OTC markets
  • 2. Market indices and economic indicators (e.g., GDP, GNP, exchange rates)
  • 3. Types of markets (primary, secondary, third, fourth)
- 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
- Offerings
  • 1. Regulatory filing requirements and exemptions (e.g., SEC, blue-sky laws)
  • 2. Types and purpose of offering documents (e.g., prospectus, official statement)
  • 3. Shelf registrations and distributions
  • 4. Roles of participants (e.g., investment bankers, underwriting syndicate, municipal advisors)
  • 5. Types of offerings: public vs. private, IPO, secondary and follow-on offerings
  • 6. Methods of distribution (e.g., best efforts, firm commitment)
Topic 3: Understanding Trading, Customer Accounts and Prohibited Activities31%- Trading, Settlement and Corporate Actions
  • 1. Trade execution and settlement (e.g., T+1, T+2)
  • 2. Corporate actions (dividends, stock splits, mergers)
  • 3. Order types (market, limit, stop orders)
- Prohibited Activities
  • 1. Anti-money laundering (AML) requirements
  • 2. Unauthorized transactions and misrepresentation
  • 3. Insider trading and front running
  • 4. Market manipulation (e.g., painting the tape, churning)
- Customer Accounts
  • 1. Margin accounts and Regulation T
  • 2. Account opening requirements and documentation
  • 3. Customer protection rules (e.g., SIPC, Rule 15c3-3)
  • 4. Types of accounts (individual, joint, retirement, custodial)
Topic 4: Overview of the Regulatory Framework9%- FINRA Rules and Registration Requirements
  • 1. Continuing education requirements
  • 2. Registration and qualification requirements (FINRA Rule 1210)
  • 3. Supervision and compliance obligations
- 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

>> Valid SIE Exam Topics <<

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q320-Q325):

NEW QUESTION # 320
Which of the following statements is true regarding the ownership of investment company shares held as tenants in common?

Answer: B

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 # 321
Which of the following statements is consistent with Keynesian economic theory?

Answer: A

Explanation:
The correct answer is B, A dollar of fiscal stimulus creates more than a dollar of economic growth. This reflects the core Keynesian concept known as the multiplier effect. According to Keynesian economic theory, government spending can stimulate economic activity beyond the initial amount spent. For example, if the government spends money on infrastructure, workers and suppliers receive income, which they then spend, creating additional rounds of economic activity.
Keynesians believe that during periods of economic slowdown or recession, active government intervention through fiscal policy (such as increased government spending or tax cuts) is necessary to boost demand and reduce unemployment. This contrasts with classical or free-market theories.
Choice A reflects classical economic theory, which emphasizes limited government and free markets. Choice C aligns more with supply-side economics, which focuses on incentives for production. Choice D is incorrect because Keynesian theory generally places greater emphasis on fiscal policy rather than monetary policy as the primary tool for economic stabilization.
Thus, the multiplier effect described in choice B is a fundamental principle of Keynesian economics and the best answer.


NEW QUESTION # 322
An investor wants to diversify their holdings to include real estate investment trusts. The investor wants to minimize transaction costs and be able to sell the REIT quickly when needed. Which of the following types of REITs, if any, satisfies the investor's requirements?

Answer: B

Explanation:
A publicly traded REIT best satisfies the investor's need for liquidity and relatively efficient transaction execution. Publicly traded REITs are listed on exchanges and can generally be bought and sold in the secondary market during trading hours, subject to market price fluctuations and normal trading costs. Choice D is therefore correct. Private REITs are not publicly traded and are generally less liquid, often involving restrictions on transfer and limited redemption opportunities. Non-traded REITs may be registered but not exchange-listed, and they can carry higher upfront costs, limited liquidity, and redemption limitations. Choice A is incorrect because publicly traded REITs can meet the stated objectives better than private or non-traded alternatives. The SIE outline identifies REITs as a product category and requires knowledge of listed, registered non-listed, and private REITs. It also emphasizes liquidity risk as a core investment risk. The question combines product structure with investor needs: the investor wants real estate exposure, low transaction friction, and the ability to sell quickly. Listed REITs are the appropriate structure for that objective. Reference: Section 2.1.7 Real Estate Investment Trusts; Section 2.2 Investment Risks, liquidity risk.


NEW QUESTION # 323
A customer and his two brothers want to Invest $30,000 to start an equity portfolio. Two of the brothers will Invest $7,500 each, and the other brother will invest S15,000 to start the account. In the event of death, each of them agrees that the assets should be passed on to their heirs proportionately. Which of the following types of accounts should the registered representative recommend to the customers?

Answer: D


NEW QUESTION # 324
Publicly traded limited partnership interests are typically considered:

Answer: B

Explanation:
Step by Step Explanation:
* Publicly Traded Limited Partnerships (PTPs): Represent ownership stakes, which categorize them as equity securities. PTPs often involve sectors like real estate or energy.
* Incorrect Options:
* A: Mutual funds are pooled investment vehicles, not partnerships.
* C: Fixed-income securities are debt instruments like bonds.
* D: Derivatives include options or futures, not ownership stakes.
References:
* SEC Guidance on Publicly Traded Partnerships: SEC PTPs.


NEW QUESTION # 325
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