Valid SIE Exam Objectives | Vce SIE Format

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FINRA SIE Exam Syllabus Topics:

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

>> Valid SIE Exam Objectives <<

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q353-Q358):

NEW QUESTION # 353
Under which of the following circumstances, if any, is a member firm permitted to send gifts to registered representatives (RRs) of another member firm?

Answer: C

Explanation:
FINRA Rule 3220 prohibits member firms from giving gifts exceeding $100 per individual per year to ensure that gifts do not influence business conduct. The rule applies to gifts given in connection with the firm's business.
* C is correctbecause it adheres to FINRA's $100 annual limit.
* Ais incorrect because the total value of gifts must also not exceed $100 annually.
* Bis incorrect as there is no $200 limit.
* Dis incorrect as gifts are allowed within the $100 limit.


NEW QUESTION # 354
Which of the following account registration types is subject to probate upon the death of the account owner?

Answer: C

Explanation:
Accounts held individually are subject to probate, which is the legal process of administering the decedent's estate. Probate determines the distribution of assets according to the deceased's will or state intestacy laws.
* A is correctbecause individual accounts require probate to transfer assets.
* Bis incorrect because irrevocable trusts bypass probate.
* Cis incorrect because TOD accounts allow direct transfer of assets to named beneficiarieswithout probate.
* Dis incorrect because JTWROS accounts transfer ownership to the surviving account holder automatically.


NEW QUESTION # 355
A summary prospectus for a mutual fund must contain which of the following information?

Answer: C

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 # 356
A market maker quotes the market on an NMS equity security as 39.05 - 39.15 [5x10]. Which of the following orders is the market maker required to fill?

Answer: D

Explanation:
The quote indicates that the market maker is willing to buy 500 shares at $39.05 (bid) and sell 1,000 shares at
$39.15 (ask). Market makers are required to honor their quoted size for orders that fall within their bid/ask prices.
* D is correctbecause the market maker is obligated to sell at least 1,000 shares at $39.15 as it falls within the quoted size and price.
* Bis incorrect because the bid is at $39.05, not $39.00.
* Cis incorrect because $39.10 does not match the ask price.
* Ais invalid as a stop order would not activate at $39.00.


NEW QUESTION # 357
Which of the following is the primary risk of using asset allocation models without periodic rebalancing?

Answer: B

Explanation:
Step by Step Explanation:
* Rebalancing: Ensures that a portfolio remains aligned with its target allocation. Without rebalancing, outperforming assets can become overweighted, increasing exposure to specific risks.
* Incorrect Options:
* Inflation: Impacts purchasing power but isn't tied to rebalancing.
* Marketability: Refers to liquidity and isn't linked to allocation models.
* Interest Rate Risk: Relates to fixed-income investments and isn't directly addressed by allocation models.
SEC Investor Bulletin on Asset Allocation: SEC Asset Allocation.


NEW QUESTION # 358
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