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FINRA SIE Exam Overview:

Certification Vendor:	FINRA
Exam Name:	Securities Industry Essentials (SIE) Exam
Exam Number:	SIE
Real Exam Qty:	75 scored multiple-choice questions
Exam Format:	Computer-based exam, Multiple-choice
Exam Duration:	105 minutes
Available Languages:	English
Certificate Validity Period:	4 years
Passing Score:	70%
Related Certifications:	FINRA Series 6 FINRA Series 7 FINRA Series 79
Exam Price:	$80 USD
Recommended Training:	FINRA Securities Industry Essentials Exam Overview FINRA SIE Exam Content Outline
Exam Registration:	FINRA SIE Exam Official Page FINRA Exam Registration Overview
Sample Questions:	FINRA SIE Sample Questions
Exam Way:	Computer-based exam delivered at authorized testing centers (Prometric).
Pre Condition:	No formal prerequisites required. Recommended for individuals entering the U.S. securities industry.
Official Syllabus URL:	https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam

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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	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 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.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q68-Q73):

NEW QUESTION # 68
The primary market is regulated by the SEC under which of the following acts?

A. The Investment Advisers Act of 1940
B. The Securities Exchange Act of 1934
C. The Investment Company Act of 1940
D. The Securities Act of 1933

Answer: D

Explanation:
The primary market deals with the issuance of new securities, which is regulated under the Securities Act of
1933. This act requires issuers to provide full disclosure of material information to investors to ensure transparency and fairness in new offerings.
* A is correct because the Securities Act of 1933 governs initial offerings.
* B is incorrect because the Securities Exchange Act of 1934 regulates secondary market trading.
* C is incorrect because the Investment Advisers Act of 1940 pertains to investment advisers.
* D is incorrect because the Investment Company Act of 1940 governs mutual funds and other investment companies.
Reference: Securities Act of 1933

NEW QUESTION # 69
A Treasury bill is issued under which of the following terms?

A. At par plus interest
B. At a discount
C. At par
D. At a stated rate of interest

Answer: B

Explanation:
Treasury bills (T-bills) are short-term debt securities issued at a discount to par value. The difference between the purchase price and the par value represents the investor's interest income, which is realized when the T- bill matures.
* C is correct because T-bills are issued at a discount and mature at par.
* A is incorrect because T-bills are not sold at par value.
* B and D are incorrect because T-bills do not pay periodic interest; the return is based on the discount.
Reference: SIE Study Guide, Chapter 3: U.S. Treasury Securities

NEW QUESTION # 70
For up to how many business days is a firm initially permitted to place a temporary hold on disbursements for a specified adult account in which the firm reasonably believes financial exploitation has occurred?

A. 3 business days
B. 10 business days
C. 15 business days
D. 5 business days

Answer: B

Explanation:
Step by Step Explanation:
* Temporary Hold Period: Under FINRA Rule 2165, a firm can initially place a hold on disbursements for up to 10 business days if financial exploitation is suspected.
* Additional Holds: The period may be extended by an additional 10 business days if warranted and allowed by state law.
* Incorrect Options:
* A & B: These are shorter than the permissible period.
* D: The initial hold period is capped at 10 business days.
:
FINRA Rule 2165 (Financial Exploitation of Specified Adults): FINRA Rule 2165.

NEW QUESTION # 71
Rising economic activity is most likely to increase revenues of which of the following sectors?

A. Utilities
B. Healthcare
C. Consumer discretionary
D. Consumer staples

Answer: C

Explanation:
Step by Step Explanation:
* Consumer Discretionary Sector: Includes products and services that are not essential, such as luxury items, travel, and entertainment. Revenues increase as disposable income rises during economic expansion.
* Consumer Staples and Utilities: These sectors are defensive and less impacted by economic cycles.
* Healthcare: Also less correlated with economic cycles due to its essential nature.
References:
* SEC and FINRA Guidance on Sectors: Investopedia Sector Overview.

NEW QUESTION # 72
Which of the following statements is true regarding the SEC's characterization of a registration statement that has just been made effective?

A. The SEC has approved the security being offered for sale.
B. The SEC has not passed judgment on the merits of the security being offered for sale.
C. The SEC has determined that no material information has been omitted.
D. The SEC has found the information presented to be true and accurate.

Answer: B

Explanation:
Step by Step Explanation:
* SEC Registration Statements: The SEC reviews registration statements for completeness and compliance but does not judge the merits, approve, or endorse the securities being offered.
* Other Options:
* A, B, and C: Misrepresent the SEC's role in the registration process.
:
SEC Bulletin on Registration Statements: SEC Registration Process.

NEW QUESTION # 73
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