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FINRA SIE Exam Syllabus Topics:

TopicDetails
Topic 1
  • 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 2
  • 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 3
  • 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.
Topic 4
  • 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 5
  • 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.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q155-Q160):

NEW QUESTION # 155
An investor purchases a Sep 30 XYZ call for a premium of 5. What will the investor pay for this option?

Answer: D

Explanation:
The correct answer is C, $500. In options trading, the quoted premium is given on a per-share basis, but each standard options contract represents 100 shares of the underlying stock.
Step 1: Identify the premium. The premium is quoted as 5, which means $5 per share.
Step 2: Determine the contract size. One standard equity option contract controls 100 shares.
Step 3: Calculate the total cost.
$5 ร— 100 shares = $500 total premium paid
This means the investor must pay $500 to purchase the call option.
Choice A ($5) is incorrect because it reflects only the per-share premium, not the total contract cost. Choice B ($30) incorrectly uses the strike price (30), which is unrelated to the premium paid. Choice D ($3,000) incorrectly multiplies the strike price by 100, which represents the exercise value, not the premium.
For the SIE exam, it is essential to remember that all listed equity options are quoted per share but traded in contracts of 100 shares, so always multiply the premium by 100 to find the total cost.
Thus, the correct total payment is $500, making answer C correct.


NEW QUESTION # 156
Corporate bonds unsecured by any pledge of property are called:

Answer: D

Explanation:
Step by Step Explanation:
* Debentures: Corporate bonds not backed by physical assets or collateral. They rely on the issuer's creditworthiness.
* Incorrect Options:
* B: Trust certificates are a legacy term for bonds backed by a trust.
* C: Collateral trust bonds are secured by financial assets.
* D: GO bonds are issued by municipalities, not corporations.
:
SEC Guide on Corporate Bonds: SEC Corporate Bonds.


NEW QUESTION # 157
Which of the following is a reportable obligation with respect to an individual's Form U4?

Answer: A

Explanation:
Step by Step Explanation:
* Form U4 Reporting Requirements: Registered persons must disclose criminal charges (excluding minor traffic violations) and material changes such as residential address changes. Gambling-related misdemeanors are considered reportable.
* Incorrect Options:
* Speeding Ticket: Typically not reportable unless it involves a felony.
* Business Telephone Number: Not material for Form U4.
References:
* FINRA Form U4 Instructions: FINRA Form U4.


NEW QUESTION # 158
Which of the following statements is consistent with Keynesian economic theory?

Answer: C

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 # 159
An investment company product that is actively managed and continuously offered is a description of which of the following products?

Answer: A

Explanation:
The correct answer is A, Open-end fund. An open-end fund, commonly known as a mutual fund, is an investment company that is actively managed by a portfolio manager and continuously offers new shares to investors. This means that investors can buy shares directly from the fund at the fund's net asset value (NAV) at the end of each trading day, and the fund will issue new shares to meet demand.
A key characteristic of open-end funds is that they are continuously offered, unlike closed-end funds, which issue a fixed number of shares in an initial public offering (IPO) and then trade on the secondary market like stocks. Additionally, open-end funds are typically actively managed, meaning the portfolio manager makes ongoing decisions to buy and sell securities in an effort to meet the fund's investment objectives.
Choice B, Closed-end fund, is incorrect because these funds are not continuously offered and trade in the secondary market. Choice C, Variable annuity, is an insurance product, not an investment company under the Investment Company Act in the same way. Choice D, UIT, is not actively managed; it has a fixed portfolio.
Thus, the description clearly matches an open-end fund, making choice A correct.


NEW QUESTION # 160
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