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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 1	Employee Conduct and Reportable Events: This section of the exam measures the skills of Financial Compliance Specialists and covers regulatory expectations regarding employee conduct and disclosure requirements. Candidates must be familiar with Form U4 and Form U5, as well as reporting obligations for outside business activities and political contributions.
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.
Topic 4	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.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q106-Q111):

NEW QUESTION # 106
Which of the following risks are associated with Treasury securities?

A. Credit risk
B. Liquidity risk
C. Prepayment risk
D. Interest rate risk

Answer: D

Explanation:
Step by Step Explanation:
* Interest Rate Risk: Treasury securities are sensitive to changes in interest rates. When rates rise, Treasury prices fall, exposing investors to price risk.
* Incorrect Options:
* Credit Risk: Virtually nonexistent for Treasuries, as they are backed by the U.S. government.
* Liquidity Risk: Treasuries are highly liquid.
* Prepayment Risk: Applies to mortgage-backed securities, not Treasuries.
References:
* SEC Bond Risk Disclosures: SEC Treasury Risks.

NEW QUESTION # 107
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 blue-chip stock mutual fund
C. Treasury Separate Trading of Registered Interest and Principal of Securities (STRIPS)
D. A money market account

Answer: B

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.
FINRA Investment Product Education: FINRA Investment Guidance.

NEW QUESTION # 108
Which of the following statements is a characteristic of a government bond fund?

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

Answer: A

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 # 109
If a company with a single outstanding bond issue chooses to extinguish this debt through refunding, which of the following actions will occur?

A. The company will establish a sinking fund for use in making regular open-market purchases of the bonds.
B. The company will retire one debt with the proceeds from another issue.
C. The company will buy back the bonds, at a discount, from the bondholders.
D. The company will issue stock to replace the bonds.

Answer: B

Explanation:
Refunding involves replacing existing debt with new debt, usually to take advantage of lower interest rates.
* B is correct because the company issues new bonds to pay off the existing debt.
* A is incorrect as refunding involves issuing debt, not equity.
* C is incorrect because the company is not obligated to buy back bonds at a discount.
* D is incorrect because a sinking fund is used for gradual repayment, not refunding.
Reference: SIE Study Guide, Chapter 3: Corporate Bonds

NEW QUESTION # 110
Which of the following statements is true regarding the difference in treatment between common stock and preferred stock?

A. Common stock and preferred stock are treated the same under a bankruptcy proceeding.
B. Common stock dividend payment is treated as a higher priority over that of preferred stock.
C. Common stock is a lower priority compared to preferred stock under a bankruptcy proceeding.
D. Common stock and preferred stock are treated the same when it comes to payment of dividends.

Answer: C

Explanation:
Step by Step Explanation:
* Priority in Bankruptcy: Preferred stockholders have a higher claim on a company's assets than common stockholders during liquidation. Common stockholders are residual claimants.
* Dividend Priority: Preferred stockholders are entitled to fixed dividends before common stockholders receive any dividends.
* Incorrect Options:
* A & B: Common and preferred stocks are treated differently in bankruptcy and dividend payments.
* C: Common stock dividends are subordinate to preferred stock dividends.
:
SEC Guidance on Stockholder Rights: SEC Stock Rights.

NEW QUESTION # 111
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