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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 1	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.
Topic 2	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 3	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 4	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.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q404-Q409):

NEW QUESTION # 404
When a customer borrows stock from a broker-dealer for purposes of a short sale, the borrowed stock:

A. Must be returned within seven business days.
B. Must be returned within five business days.
C. May be borrowed indefinitely, and the broker-dealer may not demand the return until the customer realizes a profit.
D. May be borrowed indefinitely, although the broker-dealer has the right to demand the return at any time.

Answer: D

Explanation:
A short sale requires the customer to borrow shares because the customer is selling securities not currently owned. The SIE trading framework classifies this under short positions, margin activity, and trading mechanics. The borrowed shares are not subject to a fixed five-business-day or seven-business-day return deadline merely because they were borrowed for a short sale. Instead, the short position can remain open as long as the broker-dealer can maintain the stock loan and margin requirements are satisfied. However, the lender or broker-dealer may recall the borrowed stock, requiring the customer to cover the short position by purchasing equivalent shares in the market. This is why choice C is correct. Choice D is incorrect because the broker-dealer's right to recall the borrowed securities is not dependent on whether the customer has realized a profit. The official SIE outline specifically includes "Long and short, naked and covered" under Orders and Strategies, and margin- related customer account rules under trading and account compliance. Reference:
Section 3.1.1 Orders and Strategies; Section 3.2.1 Account Types and Characteristics; FINRA Rule 4210 Margin Requirements.

NEW QUESTION # 405
A registered representative (RR) at a member firm is the subject of a statutory disqualification. Which of the following statements is true?

A. The RR is prohibited from soliciting business but is permitted to accept unsolicited orders.
B. The RR is prohibited from employment by a member firm in any registered capacity but is permitted to be employed in an unregistered capacity.
C. A statutory disqualification, although reportable to CRD, does not affect employment in the securities industry.
D. The RR is prohibited from any association or employment with a member firm unless he obtains a waiver.

Answer: D

Explanation:
A statutory disqualification occurs if an RR has been convicted of certain crimes, violated securities laws, or been barred by a regulatory authority. Under FINRA rules, the RR cannot associate with a member firm in any capacity unless they obtain a waiver from FINRA.
* B is correctbecause the disqualified person must obtain a waiver to continue employment.
* AandCare incorrect because the RR is not allowed to associate with the firm in any capacity without a waiver.
* Dis incorrect because statutory disqualification directly affects the RR's employment status.

NEW QUESTION # 406
Which of the following activities is a responsibility of a mutual fund transfer agent?

A. Underwriting new shares of securities
B. Distributing the fund's prospectus to investors
C. Maintaining records of shareholder purchases and redemptions
D. Maintaining custody of the fund's securities

Answer: C

Explanation:
A transfer agent is responsible for maintaining accurate records of shareholder purchases, redemptions, and account balances. They also handle the issuance and cancellation of shares and ensure shareholders receive appropriate distributions.
* D is correctbecause maintaining shareholder records is a core duty of a transfer agent.
* Ais incorrect because underwriting is the responsibility of a broker-dealer.
* Bis incorrect because distributing the prospectus is handled by the fund's distributor.
* Cis incorrect because custody of securities is the role of a custodian, not the transfer agent.

NEW QUESTION # 407
A registered representative (RR) owns 500 shares of a thinly traded security. A customer of the firm calls the RR to place a sell order for 10,000 shares of the same security. The RR sells his shares before entering the customer's order to sell. Which of the following activities has the RR just engaged in?

A. Front running
B. Insider trading
C. Selling away
D. Market manipulation

Answer: A

Explanation:
Step by Step Explanation:
* Front Running Definition: Occurs when a broker executes a personal trade ahead of a customer's order to profit from the anticipated market movement.
* Thinly Traded Security: Front running is particularly impactful in low-liquidity securities.
* Other Options:
* Selling Away: Involves unapproved securities transactions outside the employing firm.
* Insider Trading: Involves trading on material non-public information.
* Market Manipulation: Encompasses activities like wash trading or spoofing, not specific to this scenario.
FINRA Rule 5270 (Front Running of Block Transactions): FINRA Rule 5270.

NEW QUESTION # 408
A bullish Investor Is most likely to participate in the market using which of the following trading strategies?

A. Buying a put option
B. Selling equities short
C. Buying Treasury bonds
D. Buying a call option

Answer: D

NEW QUESTION # 409
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