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FINRA SIE Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Understanding Products and Their Risks	44%	- Investment vehicles 1. Mutual funds and ETFs 2. Options and packaged products overview - Equity and debt securities 1. Bonds and fixed income products 2. Common and preferred stock - Risk concepts 1. Investment suitability and risk tolerance 2. Systematic and unsystematic risk
Topic 2: Trading, Customer Accounts, and Prohibited Activities	31%	- Regulated and prohibited conduct 1. Fraud and manipulation prevention 2. Insider trading rules - Customer accounts 1. Account types and registration requirements 2. Suitability and documentation - Order types and execution 1. Market and limit orders 2. Trade settlement process
Topic 3: Regulatory Framework	9%	- Securities regulation 1. SEC oversight and enforcement 2. FINRA role and structure - Ethics and compliance 1. Compliance obligations 2. Code of ethics standards
Topic 4: Knowledge of Capital Markets	16%	- Types and structure of markets 1. Market participants and roles 2. Primary vs secondary markets - Economic factors 1. Monetary policy and economic indicators 2. Market cycles and risk factors

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q155-Q160):

NEW QUESTION # 155
An investor who lives on a fixed income and is concerned about inflation is most exposed to which of the following risks?

A. Purchasing power risk
B. Interest rate risk
C. Market risk
D. Economic risk

Answer: A

Explanation:
Purchasing power risk, also known as inflation risk, occurs when inflation reduces the real value of a fixed- income stream. Fixed payments (e.g., bond interest or annuity payments) lose buying power as inflation rises.
* D is correct because inflation directly affects fixed income by eroding purchasing power.
* A is incorrect because market risk relates to fluctuations in market prices, not inflation.
* B is incorrect because economic risk generally refers to broader economic downturns.
* C is incorrect because interest rate risk involves changes in bond prices due to interest rate movements, not inflation.
Reference: SIE Study Guide, Chapter 3: Risks of Fixed-Income Investments

NEW QUESTION # 156
Which of the following transactions is most profitable if executed prior to a significant rise in a company's stock price?

A. Selling a call option
B. Buying a call option
C. Selling a put option
D. Buying a put option

Answer: B

Explanation:
Buying a call option gives the investor the right to purchase the stock at a fixed price (strike price). If the stock's price rises significantly, the value of the call option increases, allowing the investor to profit.
* B is correct because a call option profits directly from a stock price increase.
* A is incorrect because a put option profits from a stock price decline.
* C and D are incorrect because selling options limits profit potential and exposes the seller to significant risk if the stock moves unfavorably.
Reference: SIE Study Guide, Chapter 8: Options Strategies

NEW QUESTION # 157
For a customer thinking about purchasing a high-income bond mutual fund, which of the following is considered the primary risk of the underlying securities in the portfolio?

A. Political risk
B. Credit risk
C. Taxability risk
D. Purchasing power risk

Answer: B

Explanation:
High-income bond mutual funds typically invest in lower-rated (junk) bonds that offer higher yields. These bonds are exposed to significant credit risk, as issuers may default on their payments.
* A is correct because credit risk is the primary concern with high-yield bonds.
* B is incorrect as political risk is more relevant for international investments.
* C is incorrect because taxability risk is not specific to bond mutual funds.
* D is incorrect because purchasing power risk is more relevant for fixed-income investments during inflationary periods but is not the primary risk here.
Reference: SIE Study Guide, Chapter 3: Risks Associated with Bonds

NEW QUESTION # 158
Which of the following products is the most appropriate class of investments for a customer looking for income and capital gains?

A. A growth stock
B. A money market account
C. A blue-chip stock mutual fund
D. Treasury Separate Trading of Registered Interest and Principal of Securities (STRIPS)

Answer: C

Explanation:
Step by Step Explanation:
* Blue-Chip Stock Mutual Funds: Invest in large, established companies that typically provide stable dividend income and potential for capital appreciation.
* Incorrect Options:
* A: Growth stocks prioritize capital appreciation, not income.
* B: Money market accounts focus on safety and liquidity, not capital gains.
* D: STRIPS provide fixed income without capital gains potential.
References:
* FINRA Investment Product Education: FINRA Investment Guidance.

NEW QUESTION # 159
Which of the following statements is true regarding the ownership of investment company shares held as tenants in common?

A. Each tenant has a fractional interest in the investment.
B. Upon the death of a tenant, all shares in the account are taxable in the estate of the deceased.
C. All tenants must sign redemption requests.
D. Any income is distributed evenly among the tenants.

Answer: A

Explanation:
Step by Step Explanation:
* Tenants in Common: In this arrangement, each tenant owns a fractional interest in the account's assets, which can be unequal depending on the agreement.
* Income Distribution: Income is distributed based on ownership percentage, not necessarily equally.
* Redemption Requests: Only the owner of the fractional interest has authority to request redemption for their portion.
* Estate Taxation: Upon the death of a tenant, only their fractional interest is taxable in their estate.
:
FINRA Guidelines on Joint Accounts: FINRA Joint Accounts.

NEW QUESTION # 160
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