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FINRA SIE Exam Overview:

Certification Vendor:	FINRA
Exam Name:	Securities Industry Essentials Exam
Exam Number:	SIE
Real Exam Qty:	75 scored + 5 unscored pre-test
Exam Price:	$100 USD
Related Certifications:	Series 79 Series 6 Series 82 Series 86/87 Series 7 Series 22 Series 57
Exam Format:	Multiple Choice
Exam Duration:	105 minutes
Passing Score:	70%
Certificate Validity Period:	4 years
Available Languages:	English
Recommended Training:	FINRA SIE Content Outline & Study Materials
Exam Registration:	Prometric Testing FINRA Official Registration
Sample Questions:	FINRA SIE Sample Questions
Exam Way:	Computer-based; available in-person at Prometric test centers or online remote proctoring
Pre Condition:	Minimum age 18; no firm sponsorship or prior employment required; open to all individuals
Official Syllabus URL:	https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam

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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 1	Understanding Products and Their Risks: This section of the exam measures the skills of Investment Analysts and examines different financial products and associated risks. Candidates must understand equity securities, including common stock, as well as debt instruments such as Treasury securities and mortgage-backed securities.
Topic 2	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.
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.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q162-Q167):

NEW QUESTION # 162
A customer purchased $80,000 of Fund XYZ two years ago. He now wants to buy $50,000 of Fund LMN offered within the same fund family, which offers a $100,000 breakpoint under right of accumulation. Which of the following statements is true?

A. The additional investment qualifies for a $100,000 breakpoint.
B. The customer must sign a new letter of intent to receive the $100,000 breakpoint on the additional purchase.
C. Each fund requires contributions of $100,000 to qualify for a breakpoint.
D. The customer will receive a sales charge discount on his next purchase after the account balance of the fund reaches $100,000.

Answer: A

Explanation:
Step by Step Explanation:
* Right of Accumulation: Allows an investor to combine the value of existing investments within the same fund family to qualify for a breakpoint (reduced sales charge) on new purchases.
* Current Holdings: $80,000
* New Purchase: $50,000
* Total: $130,000, qualifying for the $100,000 breakpoint.
* Incorrect Options:
* B: Contributions from all funds within the same family can be aggregated.
* C: A new letter of intent is unnecessary; right of accumulation applies automatically.
* D: Discounts apply immediately, not retroactively.
References:
* FINRA Guidance on Breakpoints: FINRA Breakpoints.

NEW QUESTION # 163
An investor owns $10,000 par value of a municipal bond with the following rates:
* 4.0% coupon rate
* 5.0% current yield
* 4.5% yield to maturity (YTM)
* 6.5% tax-equivalent yield
What amount of interest should the investor expect to receive each year?

A. $650
B. $400
C. $450
D. $500

Answer: B

Explanation:
The annual interest on a bond is calculated based on thecoupon rateand the bond's par value.
* Coupon rate = 4.0%.
* Annual interest = $10,000 (par value) × 4.0% =$400.
* A is correctbecause the coupon rate determines the annual interest.
* B,C, andDare incorrect because they reflect incorrect calculations. The current yield, YTM, and tax- equivalent yield do not affect the bond's fixed coupon payments.

NEW QUESTION # 164
Which of the following statements is a characteristic of a government bond fund?

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

Answer: C

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.
:
SEC Guidance on Mutual Funds: SEC Government Bond Funds.

NEW QUESTION # 165
Which of the following entities issues certificates of deposit (CDs)?

A. Federal Reserve
B. Broker-dealers
C. FDIC
D. Banks

Answer: D

Explanation:
Certificates of Deposit (CDs) are time deposit accounts issued by banks, offering fixed interest rates for a specified term. CDs are insured by the FDIC up to $250,000 per depositor, but the issuing entity is the bank itself.
* B is correctbecause banks issue CDs.
* Ais incorrect because the FDIC insures CDs but does not issue them.
* Cis incorrect because broker-dealers may facilitate the purchase of CDs but do not issue them.
* Dis incorrect because the Federal Reserve does not issue CDs; it manages monetary policy.

NEW QUESTION # 166
Which of the following characteristics is true of open-end mutual fund shares?

A. They are purchased by investors in the secondary market.
B. They terminate and dissolve on an established date.
C. Their price is calculated intra-day based on the changing market value of the fund.
D. They are purchased by investors directly from the fund or through a broker-dealer offering the fund.

Answer: D

Explanation:
Open-end mutual funds do not trade on secondary markets. Instead, shares are continuously issued or redeemed by the fund at the net asset value (NAV), calculated at the market close.
* D is correct because investors purchase and redeem shares directly through the fund or authorized brokers.
* A is incorrect because mutual funds do not have a predetermined dissolution date.
* B is incorrect because mutual fund shares are priced at the NAV calculated once daily after the market closes.
* C is incorrect because secondary market trading applies to closed-end funds and ETFs, not open-end mutual funds.
Reference: Investment Company Act of 1940; SIE Study Guide, Chapter 5

NEW QUESTION # 167
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