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FINRA SIE Exam Syllabus Topics:

TopicDetails
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
  • Overview of the Regulatory Framework: This section of the exam measures the skills of Compliance Officers and evaluates knowledge of self-regulatory organization (SRO) requirements, including registration and continuing education for associated persons. Candidates must understand the distinction between registered and non-registered individuals and the requirements for maintaining industry qualifications.
Topic 3
  • 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.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q33-Q38):

NEW QUESTION # 33
The process in which the buying firm must pay for the securities and the selling firm must deliver the securities is known as:

Answer: D

Explanation:
Step by Step Explanation:
* Settlement of the Transaction: Refers to the finalization of a trade, where the buyer pays for the securities, and the seller delivers them. For most securities, regular-way settlement occurs T+2 (trade date plus two business days).
* Incorrect Options:
* Clearing the Trade: Refers to matching trade details to prepare for settlement.
* DVP Transactions: A specific type of settlement involving simultaneous payment and delivery, often used for institutional clients.
* Corporate Action: Refers to events like stock splits or dividend declarations.
FINRA and SEC Guidelines on Settlement: SEC Settlement Process.


NEW QUESTION # 34
An individual investor has $300,000 in cash and $400,000 in securities held with a financially troubled SIPC member firm for which liquidation has begun. The individual investor's cash is protected for what amount?

Answer: C

Explanation:
Step by Step Explanation:
* SIPC Coverage Limits: Protects up to $500,000 per customer, including a maximum of $250,000 for cash.
* In this case, $300,000 in cash exceeds the SIPC limit, so only $250,000 is protected.
* Incorrect Options:
* A: $150,000 understates the SIPC limit for cash.
* C: The full $300,000 in cash is not protected.
* D: Total coverage exceeds SIPC limits.
:
SIPC Coverage Details: SIPC Protection.


NEW QUESTION # 35
A customer purchases $3,000 of XYZ, which settles today in a margin account. The customer has no other positions or balances. According to initial margin requirements, what is the amount of the required deposit?

Answer: B

Explanation:
Under Federal Reserve Regulation T, customers must deposit at least 50% of the purchase price for margin trades. However, theminimum deposit requirement is $2,000, regardless of the 50% rule, if the account is below this threshold.
* 50% of $3,000 = $1,500.
* Since $1,500 is less than the $2,000 minimum, the customer must deposit the full $2,000.
* B is correctbecause $2,000 is the required minimum deposit.
* Ais incorrect because the $1,500 calculation does not meet the minimum.
* CandDare incorrect because they exceed the minimum deposit requirement.


NEW QUESTION # 36
Which of the following terms describes failure to honor a firm quote?

Answer: D

Explanation:
Step by Step Explanation:
* Backing Away: Refers to the failure of a market maker to honor a firm quote when a customer attempts to trade at that price. It is a violation of market rules.
* Incorrect Options:
* Freeriding: Involves selling securities before paying for them in a cash account.
* Interpositioning: Involves unnecessary intermediaries in trades, which can harm customers.
* Market Manipulation: Covers a range of deceptive practices, such as wash trading or spoofing, not specific to honoring quotes.
References:
* FINRA Rule 5220 (Firm Quote Rule): FINRA Rule 5220.


NEW QUESTION # 37
Which of the following government securities is issued with a 90-day maturity?

Answer: B

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 # 38
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