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FINRA SIE Exam Syllabus Topics:

Section	Weight	Objectives
Understanding Products and Their Risks	44%	- Equity and debt securities 1. Common and preferred stock 2. Bonds and fixed income products - Risk concepts 1. Systematic and unsystematic risk 2. Investment suitability and risk tolerance - Investment vehicles 1. Options and packaged products overview 2. Mutual funds and ETFs
Trading, Customer Accounts, and Prohibited Activities	31%	- Regulated and prohibited conduct 1. Insider trading rules 2. Fraud and manipulation prevention - Order types and execution 1. Trade settlement process 2. Market and limit orders - Customer accounts 1. Suitability and documentation 2. Account types and registration requirements
Knowledge of Capital Markets	16%	- Types and structure of markets 1. Market participants and roles 2. Primary vs secondary markets - Economic factors 1. Market cycles and risk factors 2. Monetary policy and economic indicators
Regulatory Framework	9%	- Ethics and compliance 1. Code of ethics standards 2. Compliance obligations - Securities regulation 1. SEC oversight and enforcement 2. FINRA role and structure

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q141-Q146):

NEW QUESTION # 141
Which of the following terms describes failure to honor a firm quote?

A. Interpositioning
B. Freeriding
C. Backing away
D. Market manipulation

Answer: C

Explanation:
Step by Step Explanation:
* Backing Away: Refers to the failure of a market maker to honor a firm quote when a customer attempts to trade at that price. It is a violation of market rules.
* Incorrect Options:
* Freeriding: Involves selling securities before paying for them in a cash account.
* Interpositioning: Involves unnecessary intermediaries in trades, which can harm customers.
* Market Manipulation: Covers a range of deceptive practices, such as wash trading or spoofing, not specific to honoring quotes.
References:
* FINRA Rule 5220 (Firm Quote Rule): FINRA Rule 5220.

NEW QUESTION # 142
Beta coefficient is a measure of:

A. Only the upside participation of an individual stock.
B. The volatility of the broad stock market.
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.

Answer: C

NEW QUESTION # 143
Assuming yields are held constant, which of the following statements describes what will occur as a discount bond reaches maturity?

A. Its price increases.
B. Its par value increases.
C. Its par value decreases.
D. Its price decreases.

Answer: A

Explanation:
Step by Step Explanation:
* Discount Bonds: These are issued or traded below par value. Over time, their price moves closer to par as they approach maturity, assuming yields remain constant.
* Other Options:
* Par Value Changes: The par value of a bond does not change over time; only its price fluctuates.
SEC and FINRA Bond Basics: SEC Discount Bonds.

NEW QUESTION # 144
An associated person at a member firm receives a complaint from a customer involving allegations of forgery.
Once the complaint is received, which of the following actions is required?

A. The member firm must complete arbitration to resolve the complaint with the customer before filing a report with FINRA.
B. The member firm is not required to report the event to FINRA but must maintain a file of the complaint for four years.
C. The member firm must report the event promptly to FINRA.
D. The member firm must have a principal review the complaint and determine if the forgery occurred before filing a report with FINRA.

Answer: C

Explanation:
Step by Step Explanation:
* FINRA Rule 4530: Requires member firms to report certain events, including allegations of forgery, to FINRA promptly.
* Incorrect Options:
* Option B: Maintaining a record does not substitute for required reporting.
* Option C: Arbitration isn't required before reporting.
* Option D: Reporting is mandatory irrespective of internal investigations.
References:
* FINRA Rule 4530 (Reporting Requirements): FINRA Rule 4530.

NEW QUESTION # 145
A city has appointed Broker-dealer XYZ to act as lead underwriter for its upcoming issuance of municipal bonds. This is an example of which of the following types of offering?

A. A follow-on offering
B. A negotiated offering
C. A competitive offering
D. A best-efforts offering

Answer: B

Explanation:
Step by Step Explanation:
* Negotiated Offering: Occurs when the issuer directly selects an underwriter and negotiates terms.
Common in municipal bond issuances.
* Incorrect Options:
* A: Follow-on offerings apply to subsequent issuances of equity securities.
* C: Competitive offerings involve multiple underwriters submitting bids.
* D: Best-efforts offerings do not guarantee the sale of all securities.
:
MSRB Overview of Municipal Offerings: MSRB Offerings.

NEW QUESTION # 146
......

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