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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 1	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 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.
Topic 4	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 5	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.

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SIE Latest Test Prep Pass Certify| High-quality SIE Latest Test Cram: Securities Industry Essentials Exam (SIE)

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q389-Q394):

NEW QUESTION # 389
Which of the following statements concerning nonqualified deferred compensation plans is true?

A. A failure of the business could lead to nonpayment of the deferred compensation.
B. The deferred compensation must be held in escrow at a bank.
C. They are governed by ERISA rules.
D. Such plans must be reviewed with the IRS.

Answer: A

Explanation:
Nonqualified deferred compensation (NQDC) plans allow employees to defer income until a future date.
* D is correctbecause NQDC funds remain part of the company's general assets, which creditors may claim if the company goes bankrupt.
* Ais incorrect as NQDC plans are not subject to ERISA rules.
* Bis incorrect because these plans do not require IRS review.
* Cis incorrect as NQDC assets are not required to be held in escrow.

NEW QUESTION # 390
A registered representative (RR) has a referral relationship with a family friend who is not affiliated with the financial industry. In the absence of a formal agreement, which of the following ways is the RR permitted to compensate the family friend for referrals?

A. The RR is permitted to take the family friend out to dinner as a way to say thank you.
B. The RR is permitted to split commissions with the family friend.
C. The RR is permitted to pay a flat-rate referral fee to the family friend.
D. The RR is permitted to give the family friend prepaid credit cards equal to 50% of the commissions earned on the referrals.

Answer: A

Explanation:
FINRA prohibits the payment of referral fees or splitting of commissions with individuals who are not registered with a broker-dealer. However, taking a friend out to dinner as a gesture of gratitude is allowed, as it does not involve cash or monetary compensation directly tied to the referral.
* C is correctbecause non-monetary expressions of gratitude (like a dinner) are permitted under FINRA rules.
* Ais incorrect because commission splitting with unregistered individuals is prohibited.
* Bis incorrect because paying referral fees is also prohibited without registration.
* Dis incorrect because giving prepaid credit cards tied to commission income violates compensation rules.

NEW QUESTION # 391
Pursuant to the Securities Act of 1933, registration is required for which of the following securities?

A. U.S. government issues
B. Municipal securities
C. Open-end investment companies
D. Private placements

Answer: C

Explanation:
The Securities Act of 1933 requires securities offered to the public to be registered with the SEC unless they qualify for an exemption. Open-end investment companies (mutual funds) are not exempt and must register.
* D is correctbecause mutual funds are publicly offered and require registration.
* Ais incorrect because private placements are exempt under Regulation D.
* Bis incorrect because municipal securities are exempt under Section 3(a)(2).
* Cis incorrect because U.S. government securities are also exempt under Section 3(a)(2).

NEW QUESTION # 392
Which of the following responses describes treasury stock?

A. U.S. government securities held by a corporation
B. Authorized but unissued stock
C. Restricted stock owned by officers
D. Stock subsequently reacquired by the issuer

Answer: D

Explanation:
Treasury stock refers to shares that were issued by a company and subsequently repurchased by the company.
These shares are held in the company's treasury and are not considered outstanding.
* C is correct because treasury stock is stock reacquired by the issuer.
* A is incorrect because authorized but unissued stock has never been issued.
* B is incorrect because restricted stock refers to shares issued with restrictions on transferability, not reacquired stock.
* D is incorrect because it incorrectly refers to government securities, not corporate stock.
Reference: SIE Study Guide, Chapter 5: Corporate Securities

NEW QUESTION # 393
A registered representative (RR) receives a mutual fund order from a customer at 4:10 p.m. ET. Which of the following statements is true regarding this order?

A. It is not permitted to be accepted as it was received after the market close.
B. It must be accepted as an "as/of" trade for today's price.
C. It must be executed at the next day's opening price.
D. It must be executed at the next closing price.

Answer: D

Explanation:
Mutual funds are traded based on forward pricing. Orders received after the market closes are executed at the NAV calculated at the next market close.
* A is correctbecause it aligns with forward pricing rules.
* B,C, andDare incorrect as they do not follow mutual fund trade practices.

NEW QUESTION # 394
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