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FINRA SIE Exam Syllabus Topics:

TopicDetails
Topic 1
  • Market Structure: This section of the exam measures the skills of Equity Market Specialists and covers the classification of financial markets, including the primary, secondary, third, and fourth markets. Candidates must demonstrate knowledge of electronic trading, over-the-counter (OTC) markets, and physical exchanges. One specific skill tested is differentiating between various market types and their operational mechanisms.
Topic 2
  • 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 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 (Q153-Q158):

NEW QUESTION # 153
Which of the following responses best describes how member firms are required to retain electronic correspondence and internal communications of associated persons?

Answer: C

Explanation:
FINRA Rule 4511 requires member firms to retain records, including electronic communications, in anon- rewriteable, non-erasable format(often referred to as WORM: Write Once, Read Many). This ensures that records cannot be altered or deleted once stored.
* D is correctbecause firms must store records in a tamper-proof format.
* A,B, andCare incorrect because these formats do not guarantee compliance with the tamper-proof requirements set forth by FINRA and the SEC.


NEW QUESTION # 154
A customer purchased 100 shares of Company XYZ common stock five years ago for $20.00 per share. Over the life of her investment, the customer received cash dividends of $2.00 per share, on which she paid total income taxes of $0.50 per share. She recently sold the stock for $30.00 per share. What is the customer's cost basis in each share of XYZ stock?

Answer: D

Explanation:
The cost basis of a stock represents the purchase price and does not include dividends received. Taxes paid on dividends also do not affect the cost basis.
* Original purchase price per share =$20.00.
* Dividends and taxes on dividends do not adjust the stock's cost basis.
* A is correctbecause the cost basis remains $20.00.
* B,C, andDincorrectly assume that dividends or taxes change the cost basis.


NEW QUESTION # 155
What is the sales load of an open-end investment company with a net asset value (NAV) of $14.35 and a public offering price (POP) of $15.50?

Answer: C

Explanation:
The sales load is calculated as a percentage of the POP, using the formula:Sales load = (POP # NAV) รท POP
ร— 100
* POP = $15.50, NAV = $14.35.
* Sales load = ($15.50 # $14.35) รท $15.50 ร— 100 =8.50%.
* C is correctbecause the calculation results in an 8.50% load.
* A,B, andDare incorrect due to incorrect calculations.


NEW QUESTION # 156
Corporate bonds unsecured by any pledge of property are called:

Answer: B

Explanation:
Step by Step Explanation:
* Debentures: Corporate bonds not backed by physical assets or collateral. They rely on the issuer's creditworthiness.
* Incorrect Options:
* B: Trust certificates are a legacy term for bonds backed by a trust.
* C: Collateral trust bonds are secured by financial assets.
* D: GO bonds are issued by municipalities, not corporations.
SEC Guide on Corporate Bonds: SEC Corporate Bonds.


NEW QUESTION # 157
Which of the following investments provides foreign investment exposure?

Answer: C

Explanation:
American Depositary Receipts (ADRs) provide U.S. investors with exposure to foreign companies, making D correct. An ADR is a negotiable receipt issued by a U.S. depository bank representing shares (or a fraction of shares) in a non-U.S. company. ADRs trade in U.S. markets and are typically priced and settle in U.S. dollars, which can make foreign investing more operationally convenient for U.S. investors while still offering exposure to the underlying foreign issuer's business and its home-market risks.
Choice A (Treasury bills) are U.S. government debt instruments and do not provide foreign exposure. Choice B (municipal bonds) are issued by U.S. states, cities, and other municipal entities, so they are domestic.
Choice C (SPY) is an ETF designed to track the S & P 500, which is a U.S. large-cap equity index; while some underlying companies may have international operations, SPY is not typically considered a direct
"foreign investment exposure" vehicle in SIE terms. ADRs are the clean, direct answer because the underlying issuer is foreign.
On the SIE, ADRs are tested as an equity product type and as a method of gaining international exposure, along with related concepts such as currency considerations (even if ADRs trade in dollars, the underlying business may be exposed to currency and foreign political/economic risk), and the role of depository banks.


NEW QUESTION # 158
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