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FINRA SIE Exam Syllabus Topics:

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

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q44-Q49):

NEW QUESTION # 44
A broker-dealer (BD) creates a marketing postcard that includes a statement regarding FINRA's endorsement of the BD. Which of the following responses is true?

Answer: C

Explanation:
Step by Step Explanation:
* FINRA Rule 2210: Firms are prohibited from suggesting or implying FINRA's endorsement or approval in any advertising materials.
* Approvals: Even if a principal or FINRA approves the content, such a statement remains impermissible.
* Key Point: FINRA's role is to regulate, not to endorse firms or their marketing.
:
FINRA Rule 2210 (Communications with the Public): FINRA Rule 2210.


NEW QUESTION # 45
For a customer thinking about purchasing a high-income bond mutual fund, which of the following is considered the primary risk of the underlying securities in the portfolio?

Answer: B

Explanation:
High-income bond mutual funds typically invest in lower-rated (junk) bonds that offer higher yields. These bonds are exposed to significant credit risk, as issuers may default on their payments.
* A is correctbecause credit risk is the primary concern with high-yield bonds.
* Bis incorrect as political risk is more relevant for international investments.
* Cis incorrect because taxability risk is not specific to bond mutual funds.
* Dis incorrect because purchasing power risk is more relevant for fixed-income investments during inflationary periods but is not the primary risk here.


NEW QUESTION # 46
For purposes of confidentiality, a customer wants to open an account designated by number only. The registered representative must:

Answer: B

Explanation:
A numbered account is permitted if the firm maintains proper ownership records and obtains the required customer acknowledgment. The account may be identified internally or on certain documents by number for confidentiality, but the broker-dealer must still know the customer's true identity and maintain appropriate books and records. The registered representative must obtain a signed statement from the customer accepting ownership of the numbered account. Choice D is correct. Choice A is incorrect because numbered accounts are not categorically prohibited under SEC rules. Choice B is incorrect because anti-money laundering and customer identification obligations do not prohibit all numbered accounts; they require the firm to identify and verify the customer. Choice C is incorrect because tax returns are not the required document for opening a numbered brokerage account. The SIE outline includes anti-money laundering, customer account information, books and records, privacy, and customer protection topics. It also lists FINRA Rule 3250, Designation of Accounts, and FINRA Rule 4512, Customer Account Information, as relevant rules. The technical issue is confidentiality without anonymity: the firm may use a number, but it must document beneficial ownership.
Reference: Section 3.2.3 AML; Section 3.2.4 Books and Records; FINRA Rules 3250 and 4512.


NEW QUESTION # 47
SIPC provides investor protection for its members' customers in which of the following situations?

Answer: B

Explanation:
The Securities Investor Protection Corporation (SIPC) protects customers if a broker-dealer fails due to insolvency. Coverage applies to cash and securities in customer accounts, up to $500,000 total, including
$250,000 for cash.
* A is correct because SIPC's purpose is to protect against losses arising from a broker-dealer's insolvency.
* B is incorrect because SIPC does not guarantee investment performance.
* C is incorrect because SIPC does not cover market losses.
* D is incorrect because futures contracts are not covered under SIPC.
Reference: Securities Investor Protection Act of 1970; SIPC FAQs


NEW QUESTION # 48
Which of the following parties Is permitted to purchase a security in an Initial public offering (IPO)?

Answer: B


NEW QUESTION # 49
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