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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 1	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 2	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 3	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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FINRA SIE Exam Questions - Easy Way To Prepare [2026]

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q211-Q216):

NEW QUESTION # 211
The SEC is Investigating an individual who Is potentially trading with material nonpublic Information concerning their former employer. Which of the following statements describes the authority, if any, that the SEC has?

A. The SEC has the authority to file civil and criminal charges.
B. The SEC has the authority to file civil charges only.
C. The SEC has the authority to file criminal charges only.
D. The SEC does not have the authority to file charges, only to issue fines and restitution.

Answer: B

NEW QUESTION # 212
Which of the following securities has the greatest investment risk?

A. Corporate bonds
B. Government bonds
C. Technology stocks
D. Blue chip stocks

Answer: C

Explanation:
Technology stocks are considered high-risk investments due to their volatility and sensitivity to economic cycles, regulatory changes, and technological advancements. While they may offer significant growth potential, they carry greater risk than blue chip stocks, corporate bonds, or government bonds.
* C is correct because technology stocks are subject to high volatility and risk.
* A is incorrect because blue chip stocks are generally stable and lower-risk.
* B is incorrect because corporate bonds carry moderate risk, depending on the issuer's creditworthiness.
* D is incorrect because government bonds are considered low-risk due to the backing of the issuing government.
Reference: SIE Study Guide, Chapter 6: Investment Risks

NEW QUESTION # 213
A customer holds 1,000 shares of Company XYZ and wants to sell covered calls against this position. What is the maximum number of contracts that the customer could sell and still remain covered?

A. 10 contracts
B. 5 contracts
C. 100 contracts
D. 1,000 contracts

Answer: A

Explanation:
Each option contract represents 100 shares. A covered call involves selling a call option while holding an equivalent number of shares to deliver if the option is exercised.
The customer owns 1,000 shares.
Since 1 contract = 100 shares, the maximum number of contracts the customer can sell is:1,000 shares ÷ 100 shares/contract = 10 contracts.
B is correct because selling 10 contracts corresponds to 1,000 shares, fully covering the position.
Reference: SIE Study Guide, Chapter 8: Options Strategies

NEW QUESTION # 214
Which of the following statements is true about a corporation's balance sheet?

A. It lists a company's assets, liabilities, and net worth on the date the statement was prepared.
B. It reports where a corporation's cash is being generated and where its cash is being spent for a specific period.
C. It summarizes a company's revenues and expenses for the firm's fiscal year.
D. It is also called a profit and loss statement.

Answer: A

Explanation:
Step by Step Explanation:
* Balance Sheet Definition: Shows a company's financial position at a specific point in time, listing assets, liabilities, and shareholders' equity (net worth).
* Other Financial Statements:
* Profit and Loss Statement: Summarizes revenues and expenses over a period.
* Cash Flow Statement: Tracks cash inflows and outflows.
SEC Guide to Financial Statements: SEC Financials.

NEW QUESTION # 215
How long are unused funds permitted to remain in a Coverdell education savings account?

A. There is no age limit preventing funds from remaining in a beneficiary's account.
B. All funds must be distributed when the beneficiary's age reaches 59 ½ years old.
C. All funds must be distributed when the beneficiary's age reaches 30 years old.
D. All funds must be distributed when the beneficiary's age reaches 21 years old.

Answer: C

Explanation:
Coverdell Education Savings Accounts (ESAs) require that all funds be distributed by the time the beneficiary reaches 30 years old. If the funds are not used for qualified educational expenses, they may be subject to taxes and penalties.
* B is correctbecause funds must be distributed by age 30 unless transferred to another eligible family member.
* Ais incorrect as age 21 is not relevant for Coverdell ESAs.
* Cis incorrect because age 59 ½ applies to retirement accounts like IRAs.
* Dis incorrect because there is a distribution deadline for Coverdell accounts.

NEW QUESTION # 216
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