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FINRA SIE Exam Overview:

Certification Vendor:FINRA
Exam Name:Securities Industry Essentials (SIE) Exam
Exam Number:SIE
Exam Duration:105 minutes
Real Exam Qty:75 scored multiple-choice questions
Exam Format:Multiple-choice, Computer-based exam
Passing Score:70%
Certificate Validity Period:4 years
Related Certifications:FINRA Series 7
FINRA Series 6
FINRA Series 79
Available Languages:English
Exam Price:$80 USD
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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FINRA SIE Exam Syllabus Topics:

TopicDetails
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
  • 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 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
  • 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 5
  • 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.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q181-Q186):

NEW QUESTION # 181
Which of the following listed securities carries voting rights?

Answer: D

Explanation:
Step by Step Explanation:
* Common Stock: Holders of common stock typically have voting rights, which allow them to participate in decisions like electing the board of directors or approving major corporate actions.
* Other Securities:
* Preferred Stock: Usually does not carry voting rights.
* Corporate and Convertible Bonds: Debt instruments, so they do not confer voting rights.
References:
* SEC Guide on Stock Voting Rights: SEC Voting Rights.


NEW QUESTION # 182
Offering 403(b) tax-sheltered annuity accounts to which of the following groups is permissible?

Answer: D

Explanation:
Step by Step Explanation:
* 403(b) Accounts: These tax-advantaged retirement plans are specifically for employees of public schools, tax-exempt organizations, and certain other nonprofit employers, such as hospitals.
* Incorrect Options:
* Volunteer Workers: Ineligible unless they are also employees.
* Small Business Owners and Military Personnel: These groups typically qualify for other retirement plans, not 403(b).
IRS Publication 571 (403(b) Plans): IRS 403(b) Guidance.


NEW QUESTION # 183
A registered representative (RR) has a referral relationship with a family friend who is not affiliated with the financial industry. In the absence of a formal agreement, which of the following ways is the RR permitted to compensate the family friend for referrals?

Answer: C

Explanation:
FINRA prohibits the payment of referral fees or splitting of commissions with individuals who are not registered with a broker-dealer. However, taking a friend out to dinner as a gesture of gratitude is allowed, as it does not involve cash or monetary compensation directly tied to the referral.
* C is correct because non-monetary expressions of gratitude (like a dinner) are permitted under FINRA rules.
* A is incorrect because commission splitting with unregistered individuals is prohibited.
* B is incorrect because paying referral fees is also prohibited without registration.
* D is incorrect because giving prepaid credit cards tied to commission income violates compensation rules.
Reference: FINRA Rule 2040 (Payment of Commissions to Unregistered Persons)


NEW QUESTION # 184
The formation of an asset-backed security or debt obligation that represents a claim on the cash flows from mortgage loans is known as:

Answer: A

Explanation:
Step by Step Explanation:
* Securitization: The process of pooling financial assets, such as mortgage loans, and creating asset- backed securities that investors can buy.
* Incorrect Options:
* B: Hypothecation refers to pledging assets as collateral.
* C & D: Loan and claim processing are administrative terms, not related to the creation of securities.
:
SEC Guidance on Asset-Backed Securities: SEC ABS Info.


NEW QUESTION # 185
If a company with a single outstanding bond issue chooses to extinguish this debt through refunding, which of the following actions will occur?

Answer: D

Explanation:
Refunding involves replacing existing debt with new debt, usually to take advantage of lower interest rates.
* B is correctbecause the company issues new bonds to pay off the existing debt.
* Ais incorrect as refunding involves issuing debt, not equity.
* Cis incorrect because the company is not obligated to buy back bonds at a discount.
* Dis incorrect because a sinking fund is used for gradual repayment, not refunding.


NEW QUESTION # 186
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