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| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | Securities Industry Essentials (SIE) Exam |
| Exam Number: | SIE |
| Available Languages: | English |
| Exam Price: | $80 USD |
| Exam Duration: | 105 minutes |
| Certificate Validity Period: | 4 years |
| Passing Score: | 70% |
| Exam Format: | Multiple-choice, Computer-based exam |
| Real Exam Qty: | 75 scored multiple-choice questions |
| Related Certifications: | FINRA Series 79 FINRA Series 6 FINRA Series 7 |
| Recommended Training: | FINRA SIE Exam Content Outline FINRA Securities Industry Essentials Exam Overview |
| Exam Registration: | FINRA Exam Registration Overview FINRA SIE Exam Official Page |
| Sample Questions: | FINRA SIE Sample Questions |
| Exam Way: | Computer-based exam delivered at authorized testing centers (Prometric). |
| Pre Condition: | No formal prerequisites required. Recommended for individuals entering the U.S. securities industry. |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam |
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NEW QUESTION # 98
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?
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 correctbecause cumulative voting allows all votes to be concentrated.
NEW QUESTION # 99
The use of company-specific financial and operating information that typically spans longer periods of time to evaluate an investment opportunity is known as which of the following types of analyses?
Answer: D
Explanation:
The correct answer is D, Fundamental analysis. Fundamental analysis involves evaluating a company's financial statements, earnings, revenues, management quality, competitive position, and overall economic conditions to determine the intrinsic value of a security. This approach typically focuses on long-term investment horizons, as it seeks to identify whether a stock is undervalued or overvalued based on its underlying business performance.
Fundamental analysts examine key financial metrics such as price-to-earnings (P/E) ratios, earnings growth, debt levels, and cash flow. They also consider broader factors like industry trends and macroeconomic conditions. Because it relies on detailed financial and operational data over time, it is best suited for investors looking to make long-term investment decisions.
Choice A, Technical analysis, focuses instead on price patterns, charts, and trading volume, typically over shorter time frames, without regard to a company's financial health. Choice B, Economic analysis looks at broad macroeconomic factors like GDP, inflation, and interest rates, not individual companies. Choice C, Quantitative analysis uses mathematical and statistical models, often algorithm-driven, rather than company- specific qualitative and financial evaluation.
Thus, the description clearly aligns with fundamental analysis, making choice D the correct answer.
NEW QUESTION # 100
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?
Answer: C
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 # 101
Executing trades using the delivery versus payment (DVP) settlement process requires the buyer to make a cash payment by which of the following deadlines?
Answer: A
Explanation:
Step by Step Explanation:
* DVP Process: Ensures that payment occurs simultaneously with the delivery of securities, mitigating counterparty risk. Cash payment is made before or at the time of delivery.
* Incorrect Options:
* A: The T+5 timeline is not standard for DVP.
* C: Payment must occur at delivery, not after.
* D: Settlement date agreements with the issuer are irrelevant for DVP.
References:
* FINRA Guidelines on DVP/RVP Transactions: FINRA DVP Info.
NEW QUESTION # 102
Which of the following events requires reporting on a Form U4?
Answer: A
Explanation:
Form U4 (Uniform Application for Securities Industry Registration or Transfer) requires disclosure of any felony convictions, regardless of whether they are securities-related. A felony conviction for drunk driving falls under this requirement.
* B is correct because a felony conviction must be reported on Form U4.
* A is incorrect as misdemeanor speeding tickets do not require disclosure unless they involve fraud, theft, or dishonesty.
* C is incorrect as bench warrants are not reportable unless they lead to a conviction.
* D is incorrect because gross misdemeanors (except those involving fraud or dishonesty) do not require reporting.
Reference: FINRA By-Laws, Article V, Section 2; Form U4 Instructions
NEW QUESTION # 103
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