SIE的中問題集、SIE合格内容

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FINRA SIE 認定試験の出題範囲：

トピック	出題範囲
トピック 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.
トピック 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.
トピック 3	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.

>> SIE的中問題集 <<

SIE合格内容 & SIE模擬トレーリング

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FINRA Securities Industry Essentials Exam (SIE) 認定 SIE 試験問題 (Q261-Q266):

質問 # 261
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 split commissions with the family friend.
B. The RR is permitted to pay a flat-rate referral fee to the family friend.
C. The RR is permitted to give the family friend prepaid credit cards equal to 50% of the commissions earned on the referrals.
D. The RR is permitted to take the family friend out to dinner as a way to say thank you.

正解：D

解説：
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 correct because non-monetary expressions of gratitude (like a dinner) are permitted under FINRA rules.
* A is incorrect because commission splitting with unregistered individuals is prohibited.
* B is incorrect because paying referral fees is also prohibited without registration.
* D is incorrect because giving prepaid credit cards tied to commission income violates compensation rules.
Reference: FINRA Rule 2040 (Payment of Commissions to Unregistered Persons)

質問 # 262
Which of the following statements is true of an index exchange-traded fund (ETF)?

A. Passive ETFs will typically have lower fees than those associated with actively managed ETFs.
B. It offers an opportunity to outperform the index it tracks.
C. It has a high portfolio turnover ratio.
D. It is priced once daily, generally at the market close.

正解：A

解説：
Passive ETFs track an index and require minimal management, leading to lower expenses compared to actively managed ETFs.
* D is correctbecause passive ETFs are cost-efficient and have lower fees.
* Ais incorrect because index ETFs have low turnover since they replicate an index.
* Bis incorrect because ETFs are priced continuously throughout the trading day.
* Cis incorrect as ETFs aim to match, not outperform, the index.

質問 # 263
A customer purchases 100 shares of stock on Thursday, August 2. This transaction must settle regular way no later than:

A. Friday, August 3
B. Monday, August 6
C. Tuesday, August 7
D. Wednesday, August 8

正解：B

解説：
Step by Step Explanation:
* Regular-Way Settlement: For equity securities, settlement occurs on a T+2 basis, meaning two business days after the trade date.
* Calculation:
* Trade Date (T): Thursday, August 2.
* T+2 Settlement: Excludes weekends, so settlement falls on Monday, August 6.
* Incorrect Options:
* A: Reflects T+1, not the correct settlement cycle.
* C & D: Extend beyond the standard T+2 cycle.
FINRA and SEC Settlement Rules: SEC Settlement Rules.

質問 # 264
Which of the following statements is true regarding a member firm's business continuity plan?

A. Each member firm must provide its business continuity plan to FINRA annually.
B. Each member firm must have a website and post its business continuity plan to that website.
C. Each member firm must provide its business continuity plan to all customers at least annually.
D. Each member firm must disclose to its customers at the time of account opening how its business continuity plan addresses the possibility of a significant business disruption.

正解：D

解説：
A member firm must disclose to customers at account opening how its business continuity plan addresses the possibility of a significant business disruption. The disclosure is designed to inform customers how the firm plans to respond if critical operations are interrupted. It generally addresses matters such as data backup, alternate communications, mission-critical systems, financial and operational assessments, and customer access to funds and securities. Choice D is correct because it accurately states both the timing and purpose of the required disclosure. Choice A is incorrect because the firm is not required to provide the full BCP to FINRA annually in the manner stated. Choice B is incorrect because the rule does not require annual delivery of the full BCP to every customer. Choice C is incorrect because if a firm has a website, disclosure rules may apply to posting, but every firm is not required to maintain a website solely for this purpose. The SIE outline includes business continuity plans as a books and records and customer protection topic and lists FINRA Rule
4370. Reference: Section 3.2.4 Books and Records and Privacy Requirements; FINRA Rule 4370.

質問 # 265
When is it permissible to exercise European-style options contracts?

A. Only on the third Friday of every month
B. Only on the day of expiration
C. Only on the day after expiration
D. Only on the last business day before expiration

正解：B

解説：
Step by Step Explanation:
* European-Style Options: Can only be exercised on their expiration date, unlike American-style options, which can be exercised any time before expiration.
* Incorrect Options:
* A: Not accurate; the exercise must occur specifically on the expiration date.
* C: Options cannot be exercised after expiration.
* D: The expiration date depends on the option contract, not a specific weekday.
:
Options Clearing Corporation (OCC) Guidelines: OCC European Options.

質問 # 266
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