SIE認證資料：Securities Industry Essentials Exam (SIE)確定通過考試

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FINRA SIE Exam Overview:

Certification Vendor:	FINRA
Exam Name:	Securities Industry Essentials Exam
Exam Number:	SIE
Certificate Validity Period:	4 years
Exam Price:	$100 USD
Exam Format:	Multiple Choice
Passing Score:	70%
Available Languages:	English
Related Certifications:	Series 6 Series 7 Series 86/87 Series 22 Series 57 Series 79 Series 82
Exam Duration:	105 minutes
Real Exam Qty:	75 scored + 5 unscored pre-test
Recommended Training:	FINRA SIE Content Outline & Study Materials
Exam Registration:	FINRA Official Registration Prometric Testing
Sample Questions:	FINRA SIE Sample Questions
Exam Way:	Computer-based; available in-person at Prometric test centers or online remote proctoring
Pre Condition:	Minimum age 18; no firm sponsorship or prior employment required; open to all individuals
Official Syllabus URL:	https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam

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FINRA SIE 考試大綱：

主題	簡介
主題 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.
主題 2	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.
主題 3	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.
主題 4	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.
主題 5	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.

最新的 General Securities Representative SIE 免費考試真題 (Q10-Q15):

問題 #10
Which of the following responses describes the purpose for a financial institution to provide a privacy policy to customers?

A. To provide transparency regarding the potential use of customers' nonpublic personal information
B. To regulate the collection and protection of customers' public information
C. To acquire additional information about customers' assets and holdings for future solicitation and investing
D. To automatically remove any state law provision to the opt-in or opt-out feature regarding customers' nonpublic information

答案：A

解題說明：
The primary purpose of delivering a privacy policy is to provide customers with clear disclosure about how a financial institution may collect, use, share, and safeguard nonpublic personal information (NPI) and what choices customers may have regarding sharing. That makes B correct. Under privacy requirements such as Regulation S-P (commonly tested on the SIE), firms must inform customers about their privacy practices and provide required notices so customers understand how their personal information is handled.
Choice A is incorrect because privacy policies are not primarily about "public information"; the regulatory focus is on nonpublic personal information, such as account numbers, balances, transaction history, social security numbers, and other sensitive data. Choice C is incorrect because the purpose is not to gather more information for marketing or solicitation; it's to disclose practices and protect customer information. Choice D is incorrect because privacy policies do not automatically override state laws; privacy regulation involves both federal requirements and, in some cases, state provisions, and firms must comply with applicable laws rather than "removing" them.
On the SIE, you should connect privacy policy delivery to three ideas: (1) disclosure of information-sharing practices, (2) customer rights (such as opt-out where applicable), and (3) safeguards-the firm's obligation to protect confidential customer information. This aligns with broader customer protection standards and the regulatory framework governing broker-dealer handling of client data.

問題 #11
A broker-dealer (BD) is required to ensure a hyperlink to BrokerCheck is Included on which of the following communications?

A. An email response to a complaint from a retail customer
B. The BD's homepage intended for retail customers
C. A registered representative's (RR's) outgoing email
D. An RR's social media site that Identifies his BD employment

答案：B

問題 #12
Beta coefficient is a measure of:

A. The volatility of the broad stock market.
B. Only the upside participation of an individual stock.
C. The volatility of an individual stock relative to the broad stock market.
D. The liquidity of an individual stock relative to the sector average.

答案：C

解題說明：
The beta coefficient measures the sensitivity of a stock's returns relative to the overall market (usually the S&P 500). A beta of:
* 1.0 indicates the stock moves in line with the market.
* Greater than 1.0 suggests the stock is more volatile than the market.
* Less than 1.0 suggests the stock is less volatile.
* D is correct because beta specifically compares the volatility of a stock to the market.
* A is incorrect as beta does not measure the market's volatility.
* B is incorrect as beta considers both upside and downside movements.
* C is incorrect as beta does not measure liquidity.
Reference: SIE Study Guide, Chapter 6: Portfolio Management

問題 #13
A lien was filed against the property of a registered representative (RR) for their failure to pay a contractor for home remodeling work. Which of the following items is the RR's broker-dealer (BD) required to file to reflect the lien, and within how many days of learning about the lien must the BD file?

A. A new fingerprint card within 20 days
B. The FINRA Rule 4530 complaint report within 45 days
C. Form U4 within 30 days
D. Form BD within 60 days

答案：C

解題說明：
A lien against a registered person is a reportable financial event that must be disclosed on the individual's registration record. The mechanism for updating that record is an amended Form U4, and firms are required to update Form U4 disclosures promptly (commonly tested as within 30 days after the firm learns of the event).
Therefore, the correct answer is A. Form U4 is the Uniform Application for Securities Industry Registration or Transfer and is used not only for initial registration but also for ongoing updates to disclosure items, including certain financial matters such as liens, judgments, and bankruptcies when required.
Choice B is incorrect because Form BD is the broker-dealer's registration form (the firm's registration), used for firm-level changes and disclosures. A lien filed against an individual RR is not handled by updating the broker-dealer's Form BD. Choice C is incorrect because fingerprinting requirements relate to identity
/background checks and are not the reporting mechanism for financial liens. Choice D is incorrect because FINRA Rule 4530 generally concerns reporting of certain events such as regulatory actions, violations, and specified misconduct; a personal lien is addressed through the representative's disclosure updates rather than being a "customer complaint report" filing. (Also, the question's "complaint report" phrasing is a distractor- liens are not customer complaints.) On the SIE, the point is recognizing where disclosures live (Form U4 for associated persons) and the expectation that firms supervise and update registration records when reportable events occur.

問題 #14
A market maker displays the following ABC stock quote: 25.05 - 25.15 (7x5J.
Based upon the quote displayed, the market maker sells all the available shares of a 1,200-share market order to buy ABC stock. How many shares must be sold at the price of $25.15?

A. 0
B. 1
C. 2
D. 3

答案：B

問題 #15
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