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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	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.
Topic 3	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 (Q391-Q396):

NEW QUESTION # 391
Under MSRB rules, which of the following information is a municipal securities dealer required to provide annually in writing to each of its customers?

A. Contact information for the dealer's chief compliance officer
B. The number of customer complaints that the dealer received in the last year
C. A statement that the dealer is registered with the MSRB
D. The dealer's year-end income statement

Answer: C

Explanation:
Municipal securities regulation places a strong emphasis on transparency about the dealer's role and regulatory status in the municipal market. Under MSRB customer disclosure expectations, municipal securities dealers are required to provide customers with certain written disclosures, and a commonly tested requirement is that customers receive written notice confirming that the dealer is registered with the MSRB (often tied to annual customer notifications and educational disclosures). Therefore, the correct answer is B.
Choice A is incorrect because dealers are not required to distribute their own year-end income statements to customers annually as an MSRB customer disclosure item. Financial statement delivery requirements generally relate to specific contexts (and are not a standard annual customer mailing requirement under MSRB rules for all customers). Choice C is not the best choice because while firms must have supervisory and compliance infrastructure and may provide contacts, an annual written requirement to provide the chief compliance officer's contact information is not the standard MSRB annual disclosure item being tested here.
Choice D is incorrect because dealers do not provide customers an annual count of complaints as a required MSRB disclosure; complaint reporting and recordkeeping are internal compliance matters and may be reportable to regulators, but not typically distributed as a required annual customer disclosure.
On the SIE, when you see "municipal securities dealer" + "annual written disclosure," you should think MSRB-focused customer protection messaging-especially disclosures about the dealer's municipal regulatory framework and how municipal customers can access educational resources and regulatory information. The cleanest match among the options is the dealer's written statement of MSRB registration.

NEW QUESTION # 392
A customer will be out of the country for the next two months on business and asks his firm to hold his mail until he returns. Which of the following statements is true regarding this request?

A. At the discretion of the RR, the firm is permitted to hold the customer's mail provided it takes reasonable actions to ensure no tampering occurs with this mail.
B. The firm is permitted to hold the mail as long as the registered representative (RR) complies with the customer's oral instructions.
C. The firm must receive written instructions from the customer that include the time period for the requested mail hold.
D. The firm is prohibited from holding the customer's mail under FINRA rules due to the personal information contained.

Answer: C

Explanation:
Step by Step Explanation:
* FINRA Rule 3150: Permits firms to hold customer mail only with written instructions specifying the duration, which cannot exceed three months unless there are exceptional circumstances.
* Incorrect Options:
* A: Holding mail is not prohibited if done in compliance with FINRA rules.
* C & D: Oral instructions or RR discretion are not sufficient; written authorization is mandatory.
References:
* FINRA Rule 3150 (Holding of Customer Mail): FINRA Rule 3150.

NEW QUESTION # 393
Which of the following statements is true regarding the difference in treatment between common stock and preferred stock?

A. Common stock is a lower priority compared to preferred stock under a bankruptcy proceeding.
B. Common stock and preferred stock are treated the same when it comes to payment of dividends.
C. Common stock and preferred stock are treated the same under a bankruptcy proceeding.
D. Common stock dividend payment is treated as a higher priority over that of preferred stock.

Answer: A

Explanation:
Step by Step Explanation:
* Priority in Bankruptcy: Preferred stockholders have a higher claim on a company's assets than common stockholders during liquidation. Common stockholders are residual claimants.
* Dividend Priority: Preferred stockholders are entitled to fixed dividends before common stockholders receive any dividends.
* Incorrect Options:
* A & B: Common and preferred stocks are treated differently in bankruptcy and dividend payments.
* C: Common stock dividends are subordinate to preferred stock dividends.
:
SEC Guidance on Stockholder Rights: SEC Stock Rights.

NEW QUESTION # 394
Government National Mortgage Association pass-through certificates pay interest and principal to holders:

A. Quarterly
B. Annually
C. Semiannually
D. Monthly

Answer: D

Explanation:
Government National Mortgage Association pass-through certificates, commonly called Ginnie Mae pass- throughs, pay principal and interest to investors monthly. These securities represent interests in pools of mortgages. As homeowners make monthly mortgage payments, the principal and interest are passed through to certificate holders after servicing and guarantee-related processes. Choice A is correct. Quarterly, semiannual, and annual payment schedules do not match the standard cash-flow structure of mortgage pass- through securities. This monthly payment pattern differs from many traditional bonds, which commonly pay interest semiannually and principal at maturity. Mortgage-backed securities also expose investors to prepayment risk because homeowners may refinance or pay off mortgages early, especially when interest rates decline. The SIE outline includes agency securities, asset-backed securities, mortgage-backed securities, interest, principal, prepayment risk, and debt instrument characteristics. The question tests a basic product feature: mortgage-backed pass-through securities distribute monthly cash flows because the underlying mortgage loans are paid monthly. Reference: Section 2.1.2 Debt Instruments; agency, asset-backed, and mortgage-backed securities; Section 2.2 Investment Risks, prepayment risk.

NEW QUESTION # 395
When is a newly registered person subject to the Continuing Education Regulatory Element requirement?

A. On the anniversary date of initial registration
B. Every five years
C. Every three years after the date of registration
D. The calendar year following initial registration

Answer: A

Explanation:
Step by Step Explanation:
* Regulatory Element Requirement: Newly registered persons must complete the Continuing Education (CE) Regulatory Element on the second anniversary of their initial registration and every three years thereafter.
* Incorrect Options:
* A: The requirement begins on the second anniversary, not the following calendar year.
* D: The cycle is every three years, not five.
:
FINRA Rule 1240 (Continuing Education): FINRA Rule 1240.

NEW QUESTION # 396
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