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FINRA SIE Exam Syllabus Topics:

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

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q31-Q36):

NEW QUESTION # 31
A municipal securities dealer makes a political contribution of $990 to a local mayoral candidate. At the end of the quarter, to whom, if anyone, must the dealer report the contribution?

Answer: C

Explanation:
Step by Step Explanation:
* MSRB Rule G-37: Requires municipal securities dealers to report contributions to the MSRB, even if the amount is below the $1,000 threshold that would trigger a two-year prohibition on municipal business.
* Incorrect Options:
* SEC and FINRA: Not involved in reporting political contributions for municipal securities.
References:
* MSRB Rule G-37 (Political Contributions): MSRB Rule G-37.


NEW QUESTION # 32
If a corporation calls its bonds at 107.45, it will pay:

Answer: D

Explanation:
Bond prices are quoted as a percentage of par. A call price of 107.45 means 107.45% of the bond's $1,000 par value. Multiplying $1,000 by 107.45% produces a call price of $1,074.50. When an issuer calls a bond, it pays the call price plus any accrued interest owed up to the call date. Choice C is correct. Choice A incorrectly treats $74.50 as interest rather than the call premium over par. Choice B incorrectly treats 107.45 as an interest amount instead of a quoted percentage of par. Choice D is incorrect because accrued interest is paid to the bondholder; it is not subtracted from the call price. Callable bonds give the issuer the right to redeem the bonds before maturity, usually when doing so is economically favorable, such as when interest rates decline.
The SIE outline includes debt instruments, par value, coupon value, yield, callable features, and the relationship between price and interest rates. This question tests both bond quote conversion and call settlement mechanics. Reference: Understanding Products and Their Risks; Debt Instruments; Par Value; Callable Features.


NEW QUESTION # 33
Which of the following must a registered representative disclose as an outside business activity (OBA) on his Form U4?

Answer: C

Explanation:
FINRA Rule 3270 requires registered representatives to disclose all outside business activities that involve compensation or could reasonably be perceived as a conflict of interest.
* C is correct because serving as a board member for a publicly traded company is a business activity requiring disclosure, even if compensation is indirect.
* A is incorrect because volunteer work for charities does not require disclosure.
* B is incorrect because acting as a trustee for a personal or family estate is generally not considered an OBA.
* D is incorrect because unpaid board membership for a not-for-profit entity does not typically require disclosure.
Reference: FINRA Rule 3270 (Outside Business Activities)


NEW QUESTION # 34
A customer is unhappy about a $5,000 loss in a stock that the registered representative (RR) recommended and threatens to call FINRA's Securities Helpline for Seniors about the matter. What is the most appropriate next step for the RR to take?

Answer: C

Explanation:
Step by Step Explanation:
* Escalation Requirement: The RR must promptly notify their supervisor or compliance department about the customer's complaint as required by FINRA rules. Supervisors handle customer complaints according to firm procedures.
* Incorrect Options:
* B: Reimbursing the customer is not permissible without firm approval and may create compliance issues.
* C: Complaints requiring Form U4 updates involve specific allegations such as fraud, not general dissatisfaction.
* D: The RR should not contact FINRA directly; the firm will handle communications.
:
FINRA Rule 4530 (Reporting Requirements): FINRA Rule 4530.


NEW QUESTION # 35
Shares in a private investment in public equity (PIPE) offering are priced:

Answer: C

Explanation:
Step by Step Explanation:
* PIPE Offerings: Typically priced below the current market value to incentivize institutional investors to participate in these transactions.
* Discount: The discounted price compensates for the potential illiquidity and risk associated with PIPE offerings.
* POP/Market Value: These do not apply to private offerings structured as PIPE transactions.
References:
* SEC PIPE Offering Guidance: SEC PIPE Offerings.


NEW QUESTION # 36
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