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FINRA SIE Exam Overview:

Certification Vendor:	FINRA
Exam Name:	Securities Industry Essentials Exam
Exam Number:	SIE
Exam Duration:	105 minutes
Exam Format:	Multiple Choice
Exam Price:	$100 USD
Real Exam Qty:	75 scored + 5 unscored pre-test
Certificate Validity Period:	4 years
Passing Score:	70%
Available Languages:	English
Related Certifications:	Series 22 Series 6 Series 82 Series 79 Series 7 Series 86/87 Series 57
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 Trading, Customer Accounts, and Prohibited Activities: This section of the exam measures the skills of Securities Traders and focuses on different trading strategies, settlement processes, and corporate actions. Candidates must demonstrate knowledge of order types, including market, limit, stop, and good-til-canceled orders, as well as bid-ask spreads and discretionary versus non-discretionary trading.
Topic 2	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.
Topic 3	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.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q380-Q385):

NEW QUESTION # 380
A municipal securities dealer makes a political contribution of $990 to a local mayoral candidate. At the end of the quarter, to whom, if anyone, must the dealer report the contribution?

A. FINRA
B. No disclosure required as the amount is below the reporting threshold
C. MSRB
D. SEC

Answer: C

Explanation:
Step by Step Explanation:
* MSRB Rule G-37: Requires municipal securities dealers to report contributions to the MSRB, even if the amount is below the $1,000 threshold that would trigger a two-year prohibition on municipal business.
* Incorrect Options:
* SEC and FINRA: Not involved in reporting political contributions for municipal securities.
:
MSRB Rule G-37 (Political Contributions): MSRB Rule G-37.

NEW QUESTION # 381
Pursuant to FINRA rules, which of the following content is inappropriate to link to from a business-related social media site?

A. A link to a company's filing on EDGAR that contains information on a press release about the company
B. A link to an investment's website stating the investment's performance over the next five years
C. A link to information on a mutual fund that discusses previous performance over the last five years
D. A link to the firm's website discussing its products and services

Answer: B

Explanation:
Under FINRA Rule 2210, firms must avoid making predictions or projections of future investment performance.
* B is correctbecause it involves prohibited predictive statements.
* A,C, andDare acceptable under FINRA guidelines, as they do not involve prohibited content.

NEW QUESTION # 382
When is a newly registered person subject to the Continuing Education Regulatory Element requirement?

A. Every three years after the date of registration
B. Every five years
C. On the anniversary date of initial registration
D. The calendar year following initial registration

Answer: C

Explanation:
Step by Step Explanation:
* Regulatory Element Requirement: Newly registered persons must complete the Continuing Education (CE) Regulatory Element on the second anniversary of their initial registration and every three years thereafter.
* Incorrect Options:
* A: The requirement begins on the second anniversary, not the following calendar year.
* D: The cycle is every three years, not five.
References:
* FINRA Rule 1240 (Continuing Education): FINRA Rule 1240.

NEW QUESTION # 383
A bond with a par value of $1,000 that is backed by the taxing power of a local government is known as:

A. A corporate bond
B. A general obligation (GO) bond
C. A revenue bond
D. A Treasury bond

Answer: B

Explanation:
Step by Step Explanation:
* General Obligation (GO) Bonds: Backed by the full faith and credit of the issuing municipality, relying on its taxing power for repayment.
* Revenue Bonds: Supported by revenues from a specific project or source.
* Treasury Bonds: Issued by the federal government.
* Corporate Bonds: Issued by corporations, not municipalities.
SEC Municipal Bond Guide: SEC GO Bonds.

NEW QUESTION # 384
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 investors except that:

A. The road show will be held February 6-10 in New York and Boston.
B. A recent industry report supports the company's valuation.
C. The IPO is expected to price in early February.
D. The IPO is being underwritten by Bank ABC and Bank DEF.

Answer: B

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 correct because promotional statements, such as those supporting the company's valuation, are prohibited during this time.
* A, B, and D are factual, non-promotional statements and are permitted.
Reference: Securities Act of 1933, Section 5; SEC Regulation S-K

NEW QUESTION # 385
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