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FINRA SIE Prüfungsplan:

Thema	Einzelheiten
Thema 1	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.
Thema 2	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.
Thema 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.
Thema 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.

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Die seit kurzem aktuellsten FINRA SIE Prüfungsunterlagen, 100% Garantie für Ihen Erfolg in der Prüfungen!

Die Fragenkataloge von It-Pruefung enthalten die Lernmaterialien und Simulationsfragen zur FINRA SIE Zertifizierungsprüfung. Noch wichtiger bieten wir die originalen SIE Fragen Und Antworten.

FINRA Securities Industry Essentials Exam (SIE) SIE Prüfungsfragen mit Lösungen (Q395-Q400):

395. Frage
Which of the following individual brokerage account holdings would receive full SIPC coverage?

A. $500,000 in cash
B. $250,000 in money market and $500,000 in equities
C. $500,000 in equities
D. $300,000 in cash and $200,000 in equities

Antwort: C

Begründung:
The correct answer is C, $500,000 in equities. SIPC (Securities Investor Protection Corporation) provides protection for customers of failed broker-dealers up to $500,000 total per customer, including a maximum of
$250,000 for cash.
Step-by-step, SIPC coverage applies to securities (stocks, bonds, mutual funds) and limited cash held in brokerage accounts. The key limits are:
* Total coverage: $500,000
* Cash sub-limit: $250,000
Now evaluate each choice:
* A: $300,000 cash exceeds the $250,000 cash limit, so $50,000 would be uncovered.
* B: $500,000 in cash exceeds the $250,000 limit, leaving $250,000 uncovered.
* C: $500,000 in equities is fully covered because securities can be protected up to the full $500,000 limit.
* D: Total is $750,000, which exceeds SIPC limits, so not fully covered.
Thus, only the account consisting entirely of $500,000 in securities (equities) falls within SIPC coverage limits without exceeding either the total or cash sub-limit.
Therefore, Answer C is correct.

396. Frage
In which of the following ways is interest income from Treasury issues taxed?

A. Exempt from federal and state income taxes
B. Subject to state income tax but exempt from federal income tax
C. Subject to federal and state income taxes
D. Subject to federal income tax but exempt from state income tax

Antwort: D

Begründung:
Interest income from U.S. Treasury securities is subject to federal income tax but exempt from state and local income taxes. Treasury bills, notes, and bonds are direct obligations of the U.S. government, and their tax treatment is a core fixed-income concept tested on the SIE. Choice C is correct. Choice A is incorrect because Treasury interest is not exempt from federal income tax. Choice B is incorrect because Treasury interest is not subject to state income tax. Choice D reverses the correct treatment and is therefore wrong. This tax distinction is important when comparing Treasury securities with municipal bonds. Municipal bond interest is often federally tax-exempt and may also be exempt from state tax if issued in the investor's state of residence.
Treasury securities follow the opposite pattern: taxable federally, exempt at the state and local level. The SIE outline includes Treasury securities under debt instruments and requires candidates to understand income generation, coupon payments, yield, and the basic features of fixed-income products. Reference: Section 2.1.2 Debt Instruments; Treasury securities; investment income characteristics.

397. Frage
Which of the following responses best describes a short sale?

A. A sale of securities that results in an unsecured debit balance in the investor's account
B. A sale of securities that results in a loss
C. A sale of securities that the investor does not own
D. A sale of securities that the investor had purchased in his cash account but had not yet paid for

Antwort: C

Begründung:
Step by Step Explanation:
* Short Sale Definition: Involves selling borrowed securities with the expectation of repurchasing them at a lower price.
* Investor Ownership: Short sales do not involve securities already owned by the seller.
* Other Options: None of the other choices accurately define a short sale.
References:
* SEC Regulation SHO (Short Selling): SEC Short Sales.

398. Frage
Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities, which of the following conditions must be met?

A. The issuer must notify FINRA of the proposed sale by submitting a Form 144.
B. The shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.
C. The company must be traded on a listed stock exchange.
D. The affiliate must have a holding period of six months.

Antwort: D

Begründung:
Step by Step Explanation:
* Rule 144 Holding Period: Restricted securities held by affiliates require a six-month holding period before sale, provided the issuer is subject to SEC reporting requirements.
* Other Options:
* Notification to FINRA (C) is incorrect; Form 144 is submitted to the SEC, not FINRA.
* The 10% ADTV limitation (D) applies to the volume of shares sold, not the conditions for sale.
SEC Rule 144 (Selling Restricted Securities): SEC Rule 144.

399. Frage
Which of the following activities engaged in by a registered person is considered a private securities transaction?

A. Helping a friend raise money for a startup company they founded
B. Investing personal money in shares of a listed security in a brokerage account
C. Soliciting donations to a charity
D. Working for an insurance company selling term life insurance policies

Antwort: A

Begründung:
A private securities transaction involves the sale of securities outside the scope of a registered representative's employment with their member firm. Such transactions must be disclosed to and approved by the firm under FINRA Rule 3280.
* B is correctbecause raising money for a startup involves the sale of securities and must be reported as a private securities transaction.
* Ais incorrect because soliciting charitable donations does not involve securities.
* Cis incorrect because selling term life insurance policies is not a securities transaction.
* Dis incorrect because investing personal money does not involve soliciting or selling securities to others.

400. Frage
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