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FINRA SIE Exam Syllabus Topics:

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

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FINRA Securities Industry Essentials Exam (SIE) SIE Prüfungsfragen mit Lösungen (Q294-Q299):

294. Frage
An investor buys 100 shares of a stock at $50.00 per share. The company declares a 10% stock dividend.
What will the investor's cost basis per share be following the payment of the dividend?

Antwort: C

Begründung:
A stock dividend increases the number of shares owned without affecting the total cost basis. The new cost basis per share is calculated by dividing the original total investment by the new number of shares:
* Original total investment = 100 shares × $50.00 = $5,000
* After a 10% stock dividend, the investor owns 110 shares.
* New cost basis = $5,000 ÷ 110 shares =$45.45per share.
* B is correctbecause it reflects the adjusted cost basis per share.


295. Frage
A privacy policy opt-out direction provided by a customer is valid:

Antwort: D

Begründung:
The correct answer is D, until the customer rescinds direction. This question relates to privacy rules under Regulation S-P, which governs how financial institutions handle customers' nonpublic personal information.
When a customer exercises their right to opt out of having their personal information shared with nonaffiliated third parties, that decision remains in effect indefinitely. The firm must honor the customer's opt-out instruction continuously, unless the customer later chooses to revoke or rescind that direction.
Choice A (for one year) is incorrect because there is no expiration period for an opt-out election. Once made, it does not need to be renewed annually. Choice B (as long as the account has a balance) and C (until the account is closed) are also incorrect because the opt-out applies regardless of account status and may even extend beyond account closure in certain recordkeeping contexts.
Regulation S-P ensures customers maintain control over their personal financial information, and firms are required to provide privacy notices and allow customers the ability to opt out at any time.
Thus, the opt-out direction remains valid until the customer changes their mind, making choice D correct.


296. Frage
An investor sells shares of a closed-end fund at the market. Which of the following responses best describes the net proceeds to be received?

Antwort: B

Begründung:
Step by Step Explanation:
* Closed-End Funds: Trade on exchanges like stocks, and the investor receives the bid price (market price) minus any applicable commissions.
* Incorrect Options:
* A & B: NAV applies to open-end mutual funds, not closed-end funds.
* D: POP applies to initial sales of mutual fund shares.
References:
* SEC Guidance on Closed-End Funds: SEC Closed-End Funds.


297. Frage
Which of the following responses describes treasury stock?

Antwort: A

Begründung:
Treasury stock refers to shares that were issued by a company and subsequently repurchased by the company.
These shares are held in the company's treasury and are not considered outstanding.
* C is correctbecause treasury stock is stock reacquired by the issuer.
* Ais incorrect because authorized but unissued stock has never been issued.
* Bis incorrect because restricted stock refers to shares issued with restrictions on transferability, not reacquired stock.
* Dis incorrect because it incorrectly refers to government securities, not corporate stock.


298. Frage
In performing fundamental analysis of an equity, which of the following elements should an investor consider?

Antwort: A

Begründung:
Fundamental analysis focuses on evaluating a company's underlying business and financial condition to estimate its intrinsic value. The most direct and essential inputs for fundamental analysis are the company's financial statements, which is why C is correct. Financial statements-primarily the balance sheet, income statement, and cash flow statement-help an investor assess profitability, financial strength, leverage, liquidity, and cash generation. From these statements, investors can derive ratios and measures such as earnings growth, profit margins, debt-to-equity, current ratio, and operating cash flow trends, all of which help evaluate whether the stock is undervalued or overvalued relative to the company's fundamentals.
Choices A, B, and D are all technical analysis concepts, not fundamental analysis. Chart patterns (A) and resistance/support levels (D) are based on historical price behavior and market psychology. A moving average (B) is a technical indicator that smooths price data to identify trends and potential entry/exit signals. While technical tools can be used by traders, they do not analyze the company's earnings capacity, competitive position, or financial stability.
On the SIE, the distinction is commonly tested:
Fundamental analysis = company/industry/economic factors and financial statement evaluation Technical analysis = price/volume patterns and indicators If the question asks what an investor should consider for fundamental analysis, you should immediately look for items tied to the company's business performance and financial health-most directly, financial statements.


299. Frage
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