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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	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.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q238-Q243):

NEW QUESTION # 238
An investor writes a call option with a strike price of $35.00 on underlying XYZ stock with an expiration date of March 15. On March 15, XYZ is priced at $36.50. The call option:

A. will expire worthless.
B. is out of the money by $1.50.
C. is in the money by $1.50.
D. is at the money.

Answer: C

NEW QUESTION # 239
The financial risk that a given security is not readily tradable in the market without impacting the market price is known as:

A. Market risk
B. Liquidity risk
C. Credit risk
D. Prepayment risk

Answer: B

Explanation:
Step by Step Explanation:
* Liquidity Risk: Refers to the difficulty of selling a security quickly without significantly affecting its price. This is common in thinly traded securities or complex instruments.
* Other Risks:
* Credit Risk: Relates to the possibility of default by the issuer.
* Market Risk: Pertains to overall price changes due to market conditions.
* Prepayment Risk: Associated with mortgage-backed securities and early repayment of loans.
SEC Investor Bulletin on Risks: SEC Risk Guidance.

NEW QUESTION # 240
Which of the following responses describes a FINRA member?

A. A BD regulated by a national securities association
B. A natural person who is employed by a broker-dealer (BD)
C. An associated person of a registered brokerage firm
D. A registered representative with a national securities exchange

Answer: A

NEW QUESTION # 241
At a prospecting event, a registered representative (RR) provides cards for attendees to write down their contact information if they want to have a follow-up meeting with her. Which of the following actions should the RR take in this situation to comply with telemarketing rules?

A. Obtain the broker-dealer's approval before making a call
B. Contact the prospects at will since they provided express written consent
C. Prior to contacting the prospects, check all of the names on the cards to make sure they are not on the National Do Not Call Registry
D. Limit contact with prospects to between 9 a.m. and 9 p.m.

Answer: C

Explanation:
Step by Step Explanation:
* Telemarketing Rules (FINRA Rule 3230): Require firms to check the National Do Not Call Registry before contacting individuals, even if those individuals provide their contact information voluntarily.
* Incorrect Options:
* A: Approval isn't required for individual follow-ups; compliance with the registry is.
* B: While calls must be limited to appropriate hours, the registry check is still mandatory.
* C: Written consent does not override the registry requirement.
References:
* FINRA Rule 3230 (Telemarketing): FINRA Rule 3230.

NEW QUESTION # 242
Which of the following statements is a characteristic of a government bond fund?

A. The value of the fund is not guaranteed by the government or any federal agency.
B. If interest rates fall, the net asset value (NAV) of the fund will likely drop as well.
C. Dividend/interest payments will be the same each month.
D. Government bond funds are diversified.

Answer: A

Explanation:
Step by Step Explanation:
* Government Bond Funds: Invest in government-backed securities, but the value of the fund itself is not guaranteed by the government, as these funds are subject to market risks.
* Incorrect Options:
* A: Diversification depends on the fund's investment strategy.
* B: Interest/dividend payments may fluctuate.
* C: If interest rates fall, NAVs typically rise, not drop.
References:
* SEC Guidance on Mutual Funds: SEC Government Bond Funds.

NEW QUESTION # 243
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