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FINRA SIE Exam Syllabus Topics:

SectionWeightObjectives
Knowledge of Capital Markets16%- Regulatory Entities, Agencies and Market Participants
  • 1. Role of the SEC, SROs (e.g., FINRA, MSRB), and other regulators
  • 2. Role of broker-dealers, investment advisers, and other market participants
- Offerings
  • 1. Shelf registrations and distributions
  • 2. Roles of participants (e.g., investment bankers, underwriting syndicate, municipal advisors)
  • 3. Types and purpose of offering documents (e.g., prospectus, official statement)
  • 4. Regulatory filing requirements and exemptions (e.g., SEC, blue-sky laws)
  • 5. Methods of distribution (e.g., best efforts, firm commitment)
  • 6. Types of offerings: public vs. private, IPO, secondary and follow-on offerings
- Market Structure
  • 1. Market indices and economic indicators (e.g., GDP, GNP, exchange rates)
  • 2. Types of markets (primary, secondary, third, fourth)
  • 3. Exchange markets vs. OTC markets
Understanding Trading, Customer Accounts and Prohibited Activities31%- Customer Accounts
  • 1. Types of accounts (individual, joint, retirement, custodial)
  • 2. Margin accounts and Regulation T
  • 3. Customer protection rules (e.g., SIPC, Rule 15c3-3)
  • 4. Account opening requirements and documentation
- 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. Unauthorized transactions and misrepresentation
  • 2. Insider trading and front running
  • 3. Anti-money laundering (AML) requirements
  • 4. Market manipulation (e.g., painting the tape, churning)
Understanding Products and Their Risks44%- Equity Securities
  • 1. Common stock, preferred stock, rights, warrants, ADRs
  • 2. Control and restrictions (e.g., SEC Rule 144)
  • 3. Ownership rights, voting rights, convertible features
- Debt Instruments
  • 1. Municipal securities (GO bonds, revenue bonds, short-term obligations)
  • 2. Agency securities (asset-backed and mortgage-backed securities)
  • 3. Corporate bonds
  • 4. Treasury securities (bills, notes, bonds, receipts)
  • 5. Money market instruments
- Packaged Products
  • 1. Real estate investment trusts (REITs)
  • 2. Mutual funds (open-end and closed-end)
  • 3. Variable annuities and variable life insurance
  • 4. Direct participation programs (DPPs)
  • 5. Exchange-traded funds (ETFs)
- Alternative Investments
  • 1. Hedge funds, private equity, and other alternative products
  • 2. Risks associated with alternative investments
- Investment Risks
  • 1. Interest rate risk and reinvestment risk
  • 2. Market risk, credit risk, liquidity risk, inflation risk
  • 3. Political and currency risk
- Options
  • 1. Options strategies and associated risks
  • 2. Basic options concepts (calls, puts, premiums, expiration)
Overview of the Regulatory Framework9%- Securities Acts and Regulations
  • 1. Securities Act of 1933 and Securities Exchange Act of 1934
  • 2. Investment Company Act of 1940 and Investment Advisers Act of 1940
  • 3. Securities Investor Protection Act of 1970 (SIPA)
- FINRA Rules and Registration Requirements
  • 1. Supervision and compliance obligations
  • 2. Registration and qualification requirements (FINRA Rule 1210)
  • 3. Continuing education requirements

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q77-Q82):

NEW QUESTION # 77
A customer holds 1,000 shares of Company XYZ and wants to sell covered calls against this position. What is the maximum number of contracts that the customer could sell and still remain covered?

Answer: C

Explanation:
Each option contract represents 100 shares. A covered call involves selling a call option while holding an equivalent number of shares to deliver if the option is exercised.
* The customer owns 1,000 shares.
* Since 1 contract = 100 shares, the maximum number of contracts the customer can sell is:1,000 shares
÷ 100 shares/contract = 10 contracts.
* B is correct because selling 10 contracts corresponds to 1,000 shares, fully covering the position.
Reference: SIE Study Guide, Chapter 8: Options Strategies


NEW QUESTION # 78
Which of the following portfolios is diversified across asset classes?

Answer: D

Explanation:
Diversification across asset classes means allocating capital among different broad categories of investments, such as equities, fixed income, cash equivalents, real estate, or alternatives. A portfolio containing both equity and fixed income securities is diversified across asset classes because common stocks and bonds have different risk-return profiles, income characteristics, volatility patterns, and sensitivity to economic conditions. Choice A is not diversified across asset classes because regional bank stocks are concentrated in one industry and one geographic region. Choice C is diversified by maturity within one asset class- municipal bonds-but it remains a fixed income portfolio. Choice D has exposure to different types of real estate properties, but REITs remain primarily a real estate equity sector exposure, not broad asset-class diversification. The SIE outline includes "Strategies for Mitigation of Risk," specifically "Diversification," and also identifies core product categories such as equity securities, debt instruments, REITs, and packaged products. The exam distinction is whether diversification is across sectors, maturities, issuers, or true asset classes. Only choice B clearly crosses asset classes. Reference: Section 2.1 Products; Section 2.2 Investment Risks, strategies for mitigation of risk.


NEW QUESTION # 79
Which of the following statements is true of a rights offering?

Answer: A

Explanation:
A rights offering gives existing shareholders the opportunity to buy additional shares, usually at a subscription price and within a limited period. The purpose is to permit shareholders to maintain their proportionate ownership interest when the company issues additional common stock. Without rights, a new stock issuance could dilute existing shareholders' percentage ownership and voting influence. Choice C is therefore correct.
Choice A is incorrect because rights offerings relate to equity ownership, not the marketability of fixed income securities. Choice B is incorrect because rights do not transfer voting rights; they provide a purchase privilege. Choice D describes a participating preferred stock feature, not a rights offering. In the SIE framework, rights are included under equity securities, and rights offerings are also listed under corporate actions. This question tests how an equity corporate action affects existing shareholders. Rights are fundamentally anti-dilution instruments, preserving the investor's ability to keep the same ownership percentage if the investor chooses to subscribe. Reference: Section 2.1.1 Equity Securities; Section 3.1.4 Corporate Actions, rights offerings.


NEW QUESTION # 80
A summary prospectus for a mutual fund must contain which of the following information?

Answer: A

Explanation:
Step by Step Explanation:
* Summary Prospectus Content: Must include key information such as the fund's investment objectives, risks, fees, and past performance. This helps investors make informed decisions.
* Incorrect Options:
* A: Projected returns are speculative and not included in the prospectus.
* C & D: Detailed portfolio holdings and control persons are included in the full prospectus, not the summary.
SEC Rule 498 (Summary Prospectuses): SEC Prospectus Requirements.


NEW QUESTION # 81
Under the Investment Company Act of 1940, which of the following products are considered redeemable securities?

Answer: B

Explanation:
Redeemable securities are those that can be sold back to the issuer.
* D is correct because unit investment trusts (UITs) issue redeemable securities.
* C is incorrect because closed-end fund shares are traded on secondary markets, not redeemable.
* A and B do not meet the definition of redeemable securities.
Reference: Investment Company Act of 1940, Section 2(a)(32)


NEW QUESTION # 82
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