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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 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.
Topic 2	Market Structure: This section of the exam measures the skills of Equity Market Specialists and covers the classification of financial markets, including the primary, secondary, third, and fourth markets. Candidates must demonstrate knowledge of electronic trading, over-the-counter (OTC) markets, and physical exchanges. One specific skill tested is differentiating between various market types and their operational mechanisms.
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.
Topic 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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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q68-Q73):

NEW QUESTION # 68
The cash value of a variable life insurance policy is affected by which of the following factors?

A. Fluctuating market conditions
B. Changes in the beneficiary
C. Changes in the death benefit
D. Contingent deferred sales charges

Answer: A

Explanation:
Step by Step Explanation:
* Variable Life Insurance: The cash value depends on the performance of the underlying investment options.
* Fluctuating Market Conditions: Since the cash value is linked to market performance, fluctuations directly impact its value.
* Beneficiary/Death Benefit Changes: These do not directly impact the cash value unless they involve additional costs or changes to premiums.
SEC Bulletin on Variable Life Insurance: SEC Variable Insurance.

NEW QUESTION # 69
Which of the following rates is subject to the most frequent changes?

A. Prime
B. Call loan
C. Discount
D. Federal funds

Answer: D

Explanation:
The federal funds rate, which is the interest rate banks charge each other for overnight loans, changes frequently due to daily fluctuations in bank reserves and market conditions.
* D is correct as it is the most sensitive to short-term market forces.
* A, B, and C change less frequently.
Reference: SIE Study Guide, Chapter 2: Interest Rates

NEW QUESTION # 70
Which of the following information is typically contained in the preliminary prospectus for a company conducting an initial public offering (IPO)?

A. SEC approval of the merits of the offering
B. Anticipated trading volume
C. Ownership structure
D. FINRA determination that the preliminary prospectus is accurate

Answer: C

Explanation:
A preliminary prospectus (often called a "red herring") is used in a registered public offering-such as an IPO-before the final offering price and certain final terms are set. It typically contains extensive information about the issuer, including its business description, risk factors, intended use of proceeds, management, capitalization, and importantly, details about ownership and shareholdings (e.g., principal shareholders, insiders, and how ownership may change post-offering). That makes A (Ownership structure) the correct answer.
Choice B is incorrect because "anticipated trading volume" is not a standard required disclosure item in a preliminary prospectus. While a prospectus may discuss market and listing information, projected trading volume is speculative and generally not presented as a typical disclosure item. Choice C is incorrect because the SEC does not approve the merits of an offering; securities regulation is rooted in disclosure, not merit review. The SEC's role is to require that material information is disclosed so investors can make informed decisions-not to judge whether the investment is "good." Choice D is incorrect because FINRA does not
"determine" a preliminary prospectus is accurate in that way; FINRA's corporate financing review is focused on underwriting terms and arrangements for fairness/reasonableness under applicable rules, not certifying accuracy of issuer disclosures.
This question targets core SIE offering concepts: what a prospectus contains, what "red herring" means, and the principle that regulators require full and fair disclosure rather than guaranteeing investment quality.

NEW QUESTION # 71
Which of the following statements is true with regard to SIPC and FDIC?

A. SIPC coverage is only for securities, and FDIC coverage is only for cash.
B. Securities held at broker-dealers are covered by the FDIC and are not covered by SIPC.
C. SIPC protects brokerage accounts, and FDIC protects bank deposits.
D. Money market mutual funds are covered by the FDIC and are not covered by SIPC.

Answer: C

Explanation:
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.

NEW QUESTION # 72
Under which of the following circumstances, if any, is it permissible for an individual without a Power of Attorney (POA) to sign a customer's name on their behalf?

A. Upon approval by a firm principal
B. Never permissible to sign a customer's name on their behalf
C. When accounts are fully discretionary
D. Upon receipt of verbal authorization provided that written authorization is subsequently provided

Answer: B

Explanation:
Step by Step Explanation:
* Prohibition on Signing Customer Names: It is never permissible to sign a customer's name without written authorization (POA) due to legal and ethical concerns. Unauthorized signing constitutes forgery and violates FINRA rules.
* Incorrect Options:
* A: Firm principal approval does not override this prohibition.
* B: Verbal authorization is insufficient.
* C: Discretionary authority does not allow unauthorized signing.
References:
* FINRA Rule 4512 (Customer Account Information): FINRA Rule 4512.

NEW QUESTION # 73
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