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FINRA SIE Exam Syllabus Topics:

SectionWeightObjectives
Overview of the Regulatory Framework9%- Securities Acts and Regulations
  • 1. Investment Company Act of 1940 and Investment Advisers Act of 1940
  • 2. Securities Investor Protection Act of 1970 (SIPA)
  • 3. Securities Act of 1933 and Securities Exchange Act of 1934
- FINRA Rules and Registration Requirements
  • 1. Supervision and compliance obligations
  • 2. Registration and qualification requirements (FINRA Rule 1210)
  • 3. Continuing education requirements
Understanding Trading, Customer Accounts and Prohibited Activities31%- Customer Accounts
  • 1. Types of accounts (individual, joint, retirement, custodial)
  • 2. Account opening requirements and documentation
  • 3. Customer protection rules (e.g., SIPC, Rule 15c3-3)
  • 4. Margin accounts and Regulation T
- Prohibited Activities
  • 1. Insider trading and front running
  • 2. Market manipulation (e.g., painting the tape, churning)
  • 3. Anti-money laundering (AML) requirements
  • 4. Unauthorized transactions and misrepresentation
- Trading, Settlement and Corporate Actions
  • 1. Order types (market, limit, stop orders)
  • 2. Trade execution and settlement (e.g., T+1, T+2)
  • 3. Corporate actions (dividends, stock splits, mergers)
Understanding Products and Their Risks44%- Debt Instruments
  • 1. Municipal securities (GO bonds, revenue bonds, short-term obligations)
  • 2. Money market instruments
  • 3. Agency securities (asset-backed and mortgage-backed securities)
  • 4. Corporate bonds
  • 5. Treasury securities (bills, notes, bonds, receipts)
- Options
  • 1. Basic options concepts (calls, puts, premiums, expiration)
  • 2. Options strategies and associated risks
- Investment Risks
  • 1. Political and currency risk
  • 2. Interest rate risk and reinvestment risk
  • 3. Market risk, credit risk, liquidity risk, inflation risk
- Alternative Investments
  • 1. Risks associated with alternative investments
  • 2. Hedge funds, private equity, and other alternative products
- Packaged Products
  • 1. Mutual funds (open-end and closed-end)
  • 2. Real estate investment trusts (REITs)
  • 3. Variable annuities and variable life insurance
  • 4. Exchange-traded funds (ETFs)
  • 5. Direct participation programs (DPPs)
- Equity Securities
  • 1. Common stock, preferred stock, rights, warrants, ADRs
  • 2. Ownership rights, voting rights, convertible features
  • 3. Control and restrictions (e.g., SEC Rule 144)
Knowledge of Capital Markets16%- Offerings
  • 1. Types of offerings: public vs. private, IPO, secondary and follow-on offerings
  • 2. Types and purpose of offering documents (e.g., prospectus, official statement)
  • 3. Regulatory filing requirements and exemptions (e.g., SEC, blue-sky laws)
  • 4. Methods of distribution (e.g., best efforts, firm commitment)
  • 5. Shelf registrations and distributions
  • 6. Roles of participants (e.g., investment bankers, underwriting syndicate, municipal advisors)
- Regulatory Entities, Agencies and Market Participants
  • 1. Role of the SEC, SROs (e.g., FINRA, MSRB), and other regulators
  • 2. Role of broker-dealers, investment advisers, and other market participants
- Market Structure
  • 1. Types of markets (primary, secondary, third, fourth)
  • 2. Exchange markets vs. OTC markets
  • 3. Market indices and economic indicators (e.g., GDP, GNP, exchange rates)

>> SIE證照 <<

SIE證照 | Securities Industry Essentials Exam (SIE)合法有效的通過利刃

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最新的 General Securities Representative SIE 免費考試真題 (Q110-Q115):

問題 #110
Which of the following statements is true with regard to SIPC and FDIC?

答案：A

解題說明：
Step by Step Explanation:
* SIPC Coverage: Protects customers of brokerage firms against the loss of securities and cash due to broker-dealer insolvency, but it does not protect against market losses.
* FDIC Coverage: Protects bank deposits (checking, savings, CDs) up to $250,000 per depositor, per institution.
* Incorrect Options:
* A: SIPC covers both securities and cash held at brokerage firms (within limits).
* C & D: Money market mutual funds are not FDIC insured, and securities are not covered by the FDIC.
References:
* SIPC Overview: SIPC Coverage.
* FDIC Insurance: FDIC Coverage.


問題 #111
Which of the following securities receives the highest priority in case of a bankruptcy?

答案：C


問題 #112
Which of the following responses best describes how member firms are required to retain electronic correspondence and internal communications of associated persons?

答案：D

解題說明：
FINRA Rule 4511 requires member firms to retain records, including electronic communications, in a non- rewriteable, non-erasable format (often referred to as WORM: Write Once, Read Many). This ensures that records cannot be altered or deleted once stored.
* D is correct because firms must store records in a tamper-proof format.
* A, B, and C are incorrect because these formats do not guarantee compliance with the tamper-proof requirements set forth by FINRA and the SEC.
Reference: FINRA Rule 4511 (General Requirements for Books and Records)


問題 #113
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?

答案：B


問題 #114
A mutual fund prospectus discloses the following sales charges to purchase fund shares:
Amount / Rate
$100 to $24,999 # 8%
$25,000 to $49,999 # 7%
$50,000 to $99,999 # 6%
$100,000 and above # 5%
Which of the following purchase amounts may be suspected as a breakpoint sale violation?

答案：A

解題說明：
The correct answer is C, $99,000. A breakpoint sale violation occurs when a registered representative fails to inform a customer about available sales charge discounts (breakpoints) for larger mutual fund purchases.
These discounts reduce the front-end load as the investment amount increases.
Looking at the breakpoint schedule, a significant reduction occurs at $100,000, where the sales charge drops from 6% to 5%. If a customer invests $99,000, they fall just short of the breakpoint and pay a higher sales charge than necessary.
This raises a red flag because the RR should consider strategies such as:
Informing the client to invest slightly more (e.g., $100,000) to qualify for a lower sales charge Using a Letter of Intent (LOI) to reach the breakpoint over time Applying rights of accumulation if applicable Choices A ($26,000) and B ($55,000) are not suspicious because they are not just below a major breakpoint threshold. Choice D ($101,000) already qualifies for the lower 5% charge.
Thus, $99,000 is most indicative of a potential breakpoint sale violation, making choice C correct.


問題 #115
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