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FINRA SIE Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Understanding Trading, Customer Accounts and Prohibited Activities	31%	- Prohibited Activities 1. Anti-money laundering (AML) requirements 2. Insider trading and front running 3. Unauthorized transactions and misrepresentation 4. Market manipulation (e.g., painting the tape, churning) - Trading, Settlement and Corporate Actions 1. Corporate actions (dividends, stock splits, mergers) 2. Trade execution and settlement (e.g., T+1, T+2) 3. Order types (market, limit, stop orders) - 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)
Topic 2: Understanding Products and Their Risks	44%	- Options 1. Basic options concepts (calls, puts, premiums, expiration) 2. Options strategies and associated risks - Debt Instruments 1. Agency securities (asset-backed and mortgage-backed securities) 2. Treasury securities (bills, notes, bonds, receipts) 3. Money market instruments 4. Corporate bonds 5. Municipal securities (GO bonds, revenue bonds, short-term obligations) - Packaged Products 1. Variable annuities and variable life insurance 2. Direct participation programs (DPPs) 3. Exchange-traded funds (ETFs) 4. Mutual funds (open-end and closed-end) 5. Real estate investment trusts (REITs) - Equity Securities 1. Ownership rights, voting rights, convertible features 2. Common stock, preferred stock, rights, warrants, ADRs 3. Control and restrictions (e.g., SEC Rule 144) - Investment Risks 1. Political and currency risk 2. Market risk, credit risk, liquidity risk, inflation risk 3. Interest rate risk and reinvestment risk - Alternative Investments 1. Risks associated with alternative investments 2. Hedge funds, private equity, and other alternative products
Topic 3: Knowledge of Capital Markets	16%	- 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 - Offerings 1. Roles of participants (e.g., investment bankers, underwriting syndicate, municipal advisors) 2. Shelf registrations and distributions 3. Types of offerings: public vs. private, IPO, secondary and follow-on offerings 4. Methods of distribution (e.g., best efforts, firm commitment) 5. Regulatory filing requirements and exemptions (e.g., SEC, blue-sky laws) 6. Types and purpose of offering documents (e.g., prospectus, official statement) - 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
Topic 4: Overview of the Regulatory Framework	9%	- Securities Acts and Regulations 1. Investment Company Act of 1940 and Investment Advisers Act of 1940 2. Securities Investor Protection Act of 1970 (SIPA) 3. Securities Act of 1933 and Securities Exchange Act of 1934 - FINRA Rules and Registration Requirements 1. Registration and qualification requirements (FINRA Rule 1210) 2. Continuing education requirements 3. Supervision and compliance obligations

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q402-Q407):

NEW QUESTION # 402
A customer has four traditional Individual retirement accounts (IRAs): two are at banks, one Is held directly at a mutual fund, and one Is held in her brokerage account. In order to meet her required minimum distribution (RMD), which of the following actions is she required to take?

A. Take a distribution from the largest account based on current value
B. Take a distribution based on the value of all of the accounts at the previous year end
C. Take a distribution from the smallest account based on current value
D. Take a distribution from one of the bank IRAs and either the mutual fund or brokerage IRA

Answer: B

NEW QUESTION # 403
Which of the following government securities is issued with a 90-day maturity?

A. Treasury note
B. Treasury bond
C. Treasury bill
D. Series EE bond

Answer: C

Explanation:
The correct answer is A, Treasury bill. Treasury bills (T-bills) are short-term U.S. government debt instruments with maturities of one year or less, commonly issued in increments such as 4 weeks, 13 weeks (approximately 90 days), 26 weeks, and 52 weeks. Therefore, a 90-day maturity aligns directly with a 13- week Treasury bill.
Treasury bills are issued at a discount to par value and do not pay periodic interest. Instead, the investor's return is the difference between the purchase price and the face value received at maturity. Because of their short duration and backing by the U.S. government, they are considered one of the safest and most liquid investments.
Choice B, Treasury note, is incorrect because notes have maturities ranging from 2 to 10 years. Choice C, Treasury bond, refers to long-term securities with maturities of more than 10 years, typically 20 or 30 years.
Choice D, Series EE bond is a savings bond intended for long-term investment and does not have a short-term fixed maturity like 90 days.
Thus, the only government security with a 90-day maturity is a Treasury bill, making choice A correct.

NEW QUESTION # 404
A registered representative is positive about the prospects of Company ABC, a publicly traded corporation.
He wants to send an email to his customers about the company's stock. Which of the following statements in that email is prohibited?

A. "ABC has recently changed management. The new chief executive officer has 12 years of experience in ABC's industry."
B. "According to the attached research report, our firm has rated the stock a strong Buy."
C. "The stock has paid a quarterly dividend for the past 20 years."
D. "There is strong demand for ABC stock, and it will hit $50 per share, a 20% increase, by May of this year."

Answer: D

Explanation:
Communications with the public must be fair, balanced, and not misleading. A registered representative may not make exaggerated, unwarranted, promissory, or predictive statements that imply certainty about future market performance. Choice D is prohibited because it states that the stock "will hit $50 per share" by a specific month. That is a definitive price prediction and creates an improper guarantee-like impression about future performance. Choice A is a factual historical statement if accurate. Choice B references a firm research rating and may be permissible if the research report is properly approved and included with appropriate disclosures. Choice C provides factual information about management experience and is not inherently prohibited if accurate and not misleading. The SIE outline includes communications with the public, general requirements, prohibited manipulative or deceptive devices, and suitability/best interest communications. It also lists FINRA Rule 2210, Communications with the Public, and SEC antifraud provisions as relevant rules.
The central rule is that sales communications may discuss opinions and facts, but they cannot promise or guarantee a specific future price. Reference: Section 3.2.5 Communications with the Public; FINRA Rule
2210; Section 3.3 Prohibited Activities.

NEW QUESTION # 405
Which of the following responses describes a common feature of a hedge fund?

A. Transparent as to the underlying investments and strategies
B. Low liquidity for investors
C. Low minimum investment requirement
D. Primarily focused on fixed income investments

Answer: B

Explanation:
Step by Step Explanation:
* Low Liquidity: Hedge funds often impose lock-up periods and restrict redemptions, leading to low liquidity for investors.
* Incorrect Options:
* B: Hedge funds typically have high minimum investment requirements, often $1 million or more.
* C: Hedge funds employ diverse strategies, not just fixed income.
* D: Hedge funds are generally opaque about their strategies and holdings to protect their competitive advantage.
:
SEC Investor Bulletin on Hedge Funds: SEC Hedge Funds.

NEW QUESTION # 406
Which of the following assets in an account must a broker-dealer maintain physical possession or control of unless there is an exemption?

A. Fully paid-for securities in the account only
B. All securities in the account
C. The entire brokerage account
D. Fully paid-for and excess margin securities in the account

Answer: D

Explanation:
Broker-dealers are subject to customer protection requirements that include the obligation to maintain physical possession or control of certain customer securities. Specifically, firms generally must maintain possession or control of fully paid-for securities and excess margin securities (unless an exemption applies).
That is why D is correct. The concept is investor protection: ensuring that customer securities are safeguarded and readily available, rather than being improperly used by the firm or exposed to unnecessary risk.
"Fully paid-for" securities are securities that a customer has paid for in full and therefore should not be encumbered by the firm. "Excess margin" securities are those with a market value greater than what is necessary to support the customer's margin debit. Because these securities represent customer property beyond what is needed as collateral, regulators require heightened safeguards-possession or control-so the firm cannot freely rehypothecate or otherwise misuse them beyond permitted limits.
Choice A is too broad; while many securities are protected, not all securities in an account fall under the same possession-or-control requirement in the same way, especially when margin collateral rules allow certain use within limits. Choice B is nonsensical because "the entire brokerage account" is not an asset and cannot be physically possessed. Choice C is incomplete because it ignores the "excess margin securities" component, which is explicitly included in the standard phrasing of this requirement.
For SIE purposes, this is tested as part of custody/safeguarding rules, customer protection concepts, and firm obligations relating to holding customer assets.

NEW QUESTION # 407
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