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FINRA SIE Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Understanding Trading, Customer Accounts and Prohibited Activities31%- Trading, Settlement and Corporate Actions
  • 1. Corporate actions (dividends, stock splits, mergers)
  • 2. Trade execution and settlement (e.g., T+1, T+2)
  • 3. Order types (market, limit, stop orders)
- Customer Accounts
  • 1. Customer protection rules (e.g., SIPC, Rule 15c3-3)
  • 2. Margin accounts and Regulation T
  • 3. Account opening requirements and documentation
  • 4. Types of accounts (individual, joint, retirement, custodial)
- Prohibited Activities
  • 1. Market manipulation (e.g., painting the tape, churning)
  • 2. Unauthorized transactions and misrepresentation
  • 3. Anti-money laundering (AML) requirements
  • 4. Insider trading and front running
Topic 2: Knowledge of Capital Markets16%- Market Structure
  • 1. Exchange markets vs. OTC markets
  • 2. Market indices and economic indicators (e.g., GDP, GNP, exchange rates)
  • 3. Types of markets (primary, secondary, third, fourth)
- Regulatory Entities, Agencies and Market Participants
  • 1. Role of the SEC, SROs (e.g., FINRA, MSRB), and other regulators
  • 2. Role of broker-dealers, investment advisers, and other market participants
- Offerings
  • 1. Types of offerings: public vs. private, IPO, secondary and follow-on offerings
  • 2. Shelf registrations and distributions
  • 3. Regulatory filing requirements and exemptions (e.g., SEC, blue-sky laws)
  • 4. Roles of participants (e.g., investment bankers, underwriting syndicate, municipal advisors)
  • 5. Methods of distribution (e.g., best efforts, firm commitment)
  • 6. Types and purpose of offering documents (e.g., prospectus, official statement)
Topic 3: Overview of the Regulatory Framework9%- Securities Acts and Regulations
  • 1. Securities Investor Protection Act of 1970 (SIPA)
  • 2. Securities Act of 1933 and Securities Exchange Act of 1934
  • 3. Investment Company Act of 1940 and Investment Advisers Act of 1940
- FINRA Rules and Registration Requirements
  • 1. Registration and qualification requirements (FINRA Rule 1210)
  • 2. Continuing education requirements
  • 3. Supervision and compliance obligations
Topic 4: Understanding Products and Their Risks44%- Equity Securities
  • 1. Common stock, preferred stock, rights, warrants, ADRs
  • 2. Control and restrictions (e.g., SEC Rule 144)
  • 3. Ownership rights, voting rights, convertible features
- Options
  • 1. Basic options concepts (calls, puts, premiums, expiration)
  • 2. Options strategies and associated risks
- Alternative Investments
  • 1. Hedge funds, private equity, and other alternative products
  • 2. Risks associated with alternative investments
- Debt Instruments
  • 1. Corporate bonds
  • 2. Treasury securities (bills, notes, bonds, receipts)
  • 3. Municipal securities (GO bonds, revenue bonds, short-term obligations)
  • 4. Money market instruments
  • 5. Agency securities (asset-backed and mortgage-backed securities)
- Investment Risks
  • 1. Political and currency risk
  • 2. Interest rate risk and reinvestment risk
  • 3. Market risk, credit risk, liquidity risk, inflation risk
- Packaged Products
  • 1. Variable annuities and variable life insurance
  • 2. Real estate investment trusts (REITs)
  • 3. Direct participation programs (DPPs)
  • 4. Mutual funds (open-end and closed-end)
  • 5. Exchange-traded funds (ETFs)

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q14-Q19):

NEW QUESTION # 14
Offering 403(b) tax-sheltered annuity accounts to which of the following groups is permissible?

Answer: A

Explanation:
Step by Step Explanation:
* 403(b) Accounts: These tax-advantaged retirement plans are specifically for employees of public schools, tax-exempt organizations, and certain other nonprofit employers, such as hospitals.
* Incorrect Options:
* Volunteer Workers: Ineligible unless they are also employees.
* Small Business Owners and Military Personnel: These groups typically qualify for other retirement plans, not 403(b).
IRS Publication 571 (403(b) Plans): IRS 403(b) Guidance.


NEW QUESTION # 15
Which of the following responses describes a collateralized mortgage obligation (CMO) tranche?

Answer: A

Explanation:
CMOs are divided into tranches, which are portions of the pool of mortgage-backed securities. Each tranche has its own characteristics, including coupon rate, maturity date, and credit rating, tailored to meet the needs of different investors.
* C is correct because tranches represent slices of the investment with specific terms.
* A is incorrect because the yield depends on prepayment rates and interest rate changes.
* B is incorrect as average life is an estimate, not a defining characteristic of a tranche.
* D is incorrect because underwriting is unrelated to the definition of a tranche.
Reference: SIE Study Guide, Chapter 3: Collateralized Mortgage Obligations (CMOs)


NEW QUESTION # 16
An individual investor has $300,000 in cash and $400,000 in securities held with a financially troubled SIPC member firm for which liquidation has begun. The individual investor's cash is protected for what amount?

Answer: D

Explanation:
Step by Step Explanation:
* SIPC Coverage Limits: Protects up to $500,000 per customer, including a maximum of $250,000 for cash.
* In this case, $300,000 in cash exceeds the SIPC limit, so only $250,000 is protected.
* Incorrect Options:
* A: $150,000 understates the SIPC limit for cash.
* C: The full $300,000 in cash is not protected.
* D: Total coverage exceeds SIPC limits.
:
SIPC Coverage Details: SIPC Protection.


NEW QUESTION # 17
SEC regulations permit a company to issue securities exempted from registration requirements of the Securities Act of 1933 under which of the following conditions?

Answer: C

Explanation:
Step by Step Explanation:
* Regulation D (Rule 506(b)): Allows offerings to an unlimited number of accredited investors and up to
35 non-accredited investors, provided certain disclosure requirements are met.
* Incorrect Options:
* A: Refers to Regulation S, which governs offshore offerings, not domestic exemptions.
* B: There is no 40-investor limit in Regulation D.
* C: The $5 million limit applies to Rule 504, not Rule 506(b).
SEC Regulation D: SEC Regulation D.


NEW QUESTION # 18
Company XYZ files a registration statement for its initial public offering (IPO). XYZ is permitted to communicate all of the following information about the offering in writing to investorsexceptthat:

Answer: D

Explanation:
During the "quiet period" after filing the registration statement, issuers are restricted in what they can communicate to the public to avoid influencing the market.
* C is correctbecause promotional statements, such as those supporting the company's valuation, are prohibited during this time.
* A,B, andDare factual, non-promotional statements and are permitted.


NEW QUESTION # 19
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