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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 1	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 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	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 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
Which of the following statements is true regarding 529 savings plans?

A. The account beneficiary has control over the assets in a 529 savings plan.
B. There are income limitations for contributing to a 529 savings plan.
C. 529 contributions are tax deductible in all states.
D. Assets are transferable to another 529 savings plan tax-free if the new beneficiary is a family member of the current beneficiary.

Answer: D

Explanation:
529 savings plans are state-sponsored education savings accounts that offer tax-advantaged growth. Key features include:
* Contributions are not federally tax deductible (some states offer state-level deductions).
* No income limitations for contributions.
* The account owner, not the beneficiary, controls the plan.
* Assets can be transferred tax-free to another family member's 529 plan.
* D is correct because tax-free rollovers are allowed for family members of the current beneficiary.
* A is incorrect as contributions are not universally tax deductible.
* B is incorrect as there are no income limitations for contributing.
* C is incorrect because the account owner, not the beneficiary, controls the assets.
Reference: IRS Publication 970: Tax Benefits for Education

NEW QUESTION # 69
Company ABC stock currently trades on an exchange. An ABC insider wants to sell a large number of shares of her privately held ABC stock. ABC files the necessary paperwork to register the shares, but the insider decides to wait and sell the stock at a later date. Which of the following terms best describes the type of offering that is occurring in this situation?

A. A secondary offering
B. A private offering
C. An exempt offering
D. A rights offering

Answer: A

Explanation:
Step by Step Explanation:
* Secondary Offering: Involves the sale of shares by an existing shareholder, such as an insider, rather than the company itself issuing new shares.
* Incorrect Options:
* A: Rights offerings involve giving existing shareholders the opportunity to buy additional shares.
* B: Private offerings are not registered with the SEC and involve limited investors.
* C: An exempt offering refers to securities exempt from SEC registration, such as Regulation D offerings.
SEC Guide on Secondary Offerings: SEC Secondary Offerings.

NEW QUESTION # 70
Under FINRA rules, a registered representative is permitted to receive income from which of the following activities without notifying her employing firm?

A. Playing in a band
B. Teaching woodworking at a local high school
C. Appearing as a guest speaker on investments
D. Participating in a passive investment

Answer: D

Explanation:
A registered representative generally must provide prior written notice to the employing firm before engaging in outside business activities for compensation. However, passive investments are not treated as outside business activities requiring notice in the same way because the representative is not actively working, providing services, or being compensated for an external business role. Choice B is correct. Playing in a band for compensation is an outside business activity because the representative is actively performing services for income outside the member firm. Teaching woodworking at a local high school is also an outside compensated activity and would require notice. Appearing as a guest speaker on investments may involve compensation, securities-related content, public communications, and potential conflicts; it would require firm review and notice. The SIE outline expressly includes outside business activities, private securities transactions, employee conduct, and reportable events. FINRA Rule 3270 is specifically listed as the outside business activities rule. The regulatory concern is that outside compensation and business roles can create conflicts, supervision issues, reputational risk, or unauthorized securities activity. Passive investment income does not present the same active outside employment concern. Reference: Section 4.2.2 Reportable Events; FINRA Rule 3270 Outside Business Activities of Registered Persons.

NEW QUESTION # 71
Under SEC Regulation D, which of the following parties is considered an accredited investor?

A. A person whose net worth, excluding the net equity in their primary residence, exceeds $1 million at the time of purchase.
B. A person whose joint income with their spouse exceeds $200,000 in each of the two most recent years and who has a reasonable expectation of reaching the same income level in the current year.
C. A person whose net worth, excluding the net equity in their primary residence, exceeds $500,000 at the time of purchase.
D. A charitable organization, partnership, or corporation whose assets exceed $2.5 million.

Answer: A

Explanation:
Step by Step Explanation:
* Definition of Accredited Investor: As per SEC Regulation D, Rule 501, an accredited investor includes:
* Individuals with a net worth exceeding $1 million (excluding primary residence equity).
* Individuals with an annual income exceeding $200,000 (or $300,000 jointly with a spouse) for the past two years.
* Elimination of Incorrect Answers:
* $500,000 threshold (option B) is too low to qualify under Regulation D.
* Option D is incorrect as it requires assets of $5 million, not $2.5 million.
References:
* SEC Regulation D, Rule 501 (Accredited Investor Definition): SEC Regulation D.

NEW QUESTION # 72
Which of the following statements describes a characteristic of exchange-traded funds (ETFs)?

A. ETF expense ratios are generally lower than those of mutual funds.
B. ETFs are not permitted to be purchased on margin.
C. ETFs are offered with front-end or back-end loads.
D. ETFs are purchased and sold daily at net asset value (NAV).

Answer: A

Explanation:
Step by Step Explanation:
* ETF Expense Ratios: ETFs generally have lower expense ratios compared to mutual funds due to their passive management style.
* Incorrect Options:
* A: ETFs do not have sales loads; they are traded like stocks.
* B: ETFs can be purchased on margin, like other equities.
* C: ETFs are traded throughout the day at market prices, not NAV.
SEC ETF Fact Sheet: SEC ETF Info.

NEW QUESTION # 73
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