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| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | Securities Industry Essentials Exam |
| Exam Number: | SIE |
| Exam Duration: | 105 minutes |
| Real Exam Qty: | 75 |
| Exam Price: | USD $100 |
| Certificate Validity Period: | 4 years |
| Available Languages: | English |
| Exam Format: | Multiple Choice |
| Passing Score: | 70 |
| Related Certifications: | Series 6 Series 79 Series 57 Series 7 Series 99 |
| Sample Questions: | FINRA SIE Sample Questions |
| Exam Way: | Proctored in-person exam administered at Prometric testing centers |
| Pre Condition: | Must be at least 18 years old. No firm association required to take the SIE. To become registered, must also pass a representative-level qualification exam while associated with a FINRA member firm. |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam |
数年以来弊社のMogiExamのIT試験分野での研究を通して、弊社はこの職業での重要な存在になります。弊社の開発したソフトは非常に全面的です。FINRAのSIE試験ソフトは販売量が一番高いソフトの一で、受験生をよく助けて受験生に試験に合格させます。知られているのはFINRAのSIE試験に合格すればITという職業でよく発展しています。
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質問 # 103
Which of the following activities engaged in by a registered person is considered a private securities transaction?
正解：D
解説：
A private securities transaction involves the sale of securities outside the scope of a registered representative's employment with their member firm. Such transactions must be disclosed to and approved by the firm under FINRA Rule 3280.
* B is correct because raising money for a startup involves the sale of securities and must be reported as a private securities transaction.
* A is incorrect because soliciting charitable donations does not involve securities.
* C is incorrect because selling term life insurance policies is not a securities transaction.
* D is incorrect because investing personal money does not involve soliciting or selling securities to others.
Reference: FINRA Rule 3280 (Private Securities Transactions)
質問 # 104
Which of the following must a registered representative disclose as an outside business activity (OBA) on his Form U4?
正解：D
解説：
FINRA Rule 3270 requires registered representatives to disclose all outside business activities that involve compensation or could reasonably be perceived as a conflict of interest.
* C is correct because serving as a board member for a publicly traded company is a business activity requiring disclosure, even if compensation is indirect.
* A is incorrect because volunteer work for charities does not require disclosure.
* B is incorrect because acting as a trustee for a personal or family estate is generally not considered an OBA.
* D is incorrect because unpaid board membership for a not-for-profit entity does not typically require disclosure.
Reference: FINRA Rule 3270 (Outside Business Activities)
質問 # 105
An open-end mutual fund is best described as a type of investment company that pools money from multiple investors to purchase a portfolio of:
正解：A
解説：
The correct answer is B, diverse investments with end-of-day trading and pricing. An open-end mutual fund pools money from many investors and invests in a diversified portfolio of securities, such as stocks, bonds, or other assets, depending on its investment objective. A key feature of open-end funds is that they are priced once per day, after the market closes, based on the fund's net asset value (NAV).
Investors buy and redeem shares directly from the fund company, not in the secondary market. All transactions occur at the end-of-day NAV, regardless of when the order is placed during the trading day.
Choice A is incorrect because intraday trading applies to exchange-traded funds (ETFs), not mutual funds.
Choice C describes a money market fund, which is a specific type of mutual fund focused on short-term debt instruments, not all open-end funds. Choice D describes characteristics of hedge funds or private investments, which are illiquid and often charge performance fees.
Thus, the defining features of open-end mutual funds are diversification and end-of-day pricing, making choice B the correct answer.
質問 # 106
A customer deposits an $8,000 cashier's check in their account. Later the same day, they deposit a $2,500 money order. Which of the following actions, if any, must the firm take in response to this activity?
正解：A
解説：
The correct answer is A (No filing required) based on the facts provided. A Currency Transaction Report (CTR) is generally triggered by currency transactions (cash) over the applicable threshold within a single business day. In this scenario, the customer deposited a cashier's check and a money order, which are monetary instruments, not "currency" (cash). Therefore, even though the combined amount is $10,500, the deposits described are not cash deposits, so this does not automatically require a CTR.
A Suspicious Activity Report (SAR) is required when activity is suspicious and meets reporting criteria- such as transactions that appear designed to evade reporting requirements, have no apparent lawful purpose, involve potential money laundering, or otherwise raise red flags. Here, the amounts and instruments alone-$8,000 cashier's check and $2,500 money order deposited the same day-do not necessarily indicate suspicious activity. Without additional facts (e.g., patterns of structuring, inconsistent customer profile, unusual source of funds, evasive behavior, or other AML red flags), the firm is not required to file a SAR solely on this activity.
Form W-9 is used to request a taxpayer identification number and certification for certain tax-reporting purposes, but it is not a standard "required filing" triggered by these deposits as described.
The SIE tests the ability to distinguish between currency-based reporting (CTR) and suspicion-based reporting (SAR), and to recognize that not every large or same-day deposit is automatically reportable without meeting the specific rule trigger.
質問 # 107
Which of the following listed securities carries voting rights?
正解：A
解説：
Step by Step Explanation:
* Common Stock: Holders of common stock typically have voting rights, which allow them to participate in decisions like electing the board of directors or approving major corporate actions.
* Other Securities:
* Preferred Stock: Usually does not carry voting rights.
* Corporate and Convertible Bonds: Debt instruments, so they do not confer voting rights.
:
SEC Guide on Stock Voting Rights: SEC Voting Rights.
質問 # 108
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