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FINRA SIE Exam Overview:

Certification Vendor:	FINRA
Exam Name:	Securities Industry Essentials Exam
Exam Number:	SIE
Passing Score:	70
Exam Price:	USD $100
Certificate Validity Period:	4 years
Exam Format:	Multiple Choice
Related Certifications:	Series 79 Series 6 Series 99 Series 7 Series 57
Real Exam Qty:	75
Available Languages:	English
Exam Duration:	105 minutes
Sample Questions:	FINRA SIE Sample Questions
Exam Way:	Proctored in-person exam administered at Prometric testing centers
Pre Condition:	Must be at least 18 years old. No firm association required to take the SIE. To become registered, must also pass a representative-level qualification exam while associated with a FINRA member firm.
Official Syllabus URL:	https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam

>> SIEブロンズ教材 <<

認定するSIE｜ハイパスレートのSIEブロンズ教材試験｜試験の準備方法Securities Industry Essentials Exam (SIE)問題サンプル

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FINRA SIE 認定試験の出題範囲：

トピック	出題範囲
トピック 1	従業員の行動と報告対象イベント: 試験のこのセクションでは、財務コンプライアンススペシャリストのスキルを測定し、従業員の行動と開示要件に関する規制上の期待事項をカバーします。受験者は、フォーム U4 とフォーム U5 に精通している必要があり、社外のビジネス活動と政治献金に関する報告義務についても理解している必要があります。
トピック 2	取引、顧客アカウント、禁止行為の理解: 試験のこのセクションでは、証券トレーダーのスキルを測定し、さまざまな取引戦略、決済プロセス、企業行動に焦点を当てます。受験者は、成行注文、指値注文、逆指値注文、キャンセル期限注文などの注文タイプ、およびビッド・アスク・スプレッド、裁量取引と非裁量取引に関する知識を証明する必要があります。
トピック 3	規制機関、政府機関、市場参加者: 試験のこのセクションでは、金融規制アナリストのスキルを測定し、金融市場を監督する主要な規制機関の構造、権限、管轄権について取り上げます。証券規制の施行における SEC の役割、および FINRA や MSRB などの自主規制組織の権限が評価されます。受験者は、財務省や州の規制機関など、他の金融規制機関の機能も理解する必要があります。評価される重要なスキルの 1 つは、さまざまな金融規制機関の管轄範囲を特定することです。
トピック 4	市場構造: この試験セクションでは、株式市場スペシャリストのスキルを測定し、一次市場、二次市場、三次市場、四次市場を含む金融市場の分類をカバーします。受験者は、電子取引、店頭 (OTC) 市場、および実体取引所に関する知識を証明する必要があります。テストされる特定のスキルの 1 つは、さまざまな市場タイプとその運用メカニズムを区別することです。

FINRA Securities Industry Essentials Exam (SIE) 認定 SIE 試験問題 (Q176-Q181):

質問 # 176
Under FINRA rules, If a customer sells shares In an Investment company that Includes a contingent deferred sales charge (CDSC) on redemptions, in which of the following ways must the deferred sales charge be reported to the customer?

A. On the broker-dealer's website
B. In writing, at the time of redemption
C. On the customer's account statement
D. On the trade confirmation

正解：D

質問 # 177
A customer wants to establish an account for the benefit of his grandchildren. He states to his registered representative that he wants to be able to control the distribution of the assets and direct how the account will be invested. Which of the following account types is most appropriate?

A. Trust
B. Certificate of deposit (CD)
C. 529 savings plan
D. UTMA

正解：A

解説：
Step by Step Explanation:
* Trust Accounts: Provide the account owner (trustee) full control over distributions and investment decisions. Suitable for complex estate planning needs.
* Incorrect Options:
* UTMA: Transfers control to the minor upon reaching the age of majority.
* 529 Plan: Used for educational savings, with limited control over distributions.
* CD: A fixed-term deposit, not an account type for managing distributions.
SEC and FINRA Guidelines on Trusts: FINRA Trust Accounts.

質問 # 178
Under the Investment Company Act of 1940, which of the following products are considered redeemable securities?

A. Short-term paper
B. Master limited partnerships
C. Shares issued by a closed-end investment company
D. Shares of unit investment trusts (UITs) purchased through a public offering

正解：D

解説：
Redeemable securities are those that can be sold back to the issuer.
* D is correctbecause unit investment trusts (UITs) issue redeemable securities.
* Cis incorrect because closed-end fund shares are traded on secondary markets, not redeemable.
* AandBdo not meet the definition of redeemable securities.

質問 # 179
Which of the following information is typically contained in the preliminary prospectus for a company conducting an initial public offering (IPO)?

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

正解：D

解説：
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.

質問 # 180
A registered representative (RR) receives a mutual fund order from a customer at 4:10 p.m. ET. Which of the following statements is true regarding this order?

A. It must be executed at the next closing price.
B. It must be executed at the next day's opening price.
C. It must be accepted as an "as/of" trade for today's price.
D. It is not permitted to be accepted as it was received after the market close.

正解：A

解説：
Mutual funds are traded based on forward pricing. Orders received after the market closes are executed at the NAV calculated at the next market close.
* A is correct because it aligns with forward pricing rules.
* B, C, and D are incorrect as they do not follow mutual fund trade practices.
Reference: Investment Company Act of 1940, Section 22

質問 # 181
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