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Latest Upload FINRA SIE Latest Exam: Securities Industry Essentials Exam (SIE) & New SIE Study Plan

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FINRA SIE Exam Syllabus Topics:

Topic
Details

Topic 1

Market Structure: This section of the exam measures the skills of Equity Market Specialists and covers the classification of financial markets, including the primary, secondary, third, and fourth markets. Candidates must demonstrate knowledge of electronic trading, over-the-counter (OTC) markets, and physical exchanges. One specific skill tested is differentiating between various market types and their operational mechanisms.

Topic 2

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 3

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 4

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.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q129-Q134):

NEW QUESTION # 129
In performing fundamental analysis of an equity, which of the following elements should an investor consider?

A. Chart patterns
B. Moving average
C. Resistance and support levels
D. Financial statements

Answer: D

Explanation:
Fundamental analysis focuses on evaluating a company's financial health and potential for growth by analyzing its financial statements, such as the income statement, balance sheet, and cash flow statement.
* C is correctbecause financial statements provide the data necessary for fundamental analysis.
* AandBare incorrect because chart patterns and moving averages are tools of technical analysis, not fundamental analysis.
* Dis incorrect because resistance and support levels are also part of technical analysis.

NEW QUESTION # 130
An investor generally purchases an open-end mutual fund from which of the following parties?

A. The NYSE
B. The fund's underwriter
C. The fund's custodian
D. An existing shareholder

Answer: B

Explanation:
Step by Step Explanation:
* Open-End Mutual Funds: Shares are purchased directly from the fund or its underwriter at the current Net Asset Value (NAV), plus any applicable sales charges.
* Custodian: Holds the fund's assets but does not sell shares.
* NYSE and Shareholders: Open-end funds do not trade on exchanges or between individual shareholders.
References:
* SEC Mutual Fund Basics: SEC Mutual Funds.

NEW QUESTION # 131
A hypothecation agreement gives the broker-dealer the right to engage in which of the following activities?

A. Entering trades in a customer's account without prior authorization from the customer
B. Selling a customer's securities when the customer has failed to pay for trades in a cash account
C. Sharing customers' nonpublic personal information with nonaffiliated third parties
D. Using securities that a customer has bought on margin as collateral to obtain a loan from a bank

Answer: D

Explanation:
Step by Step Explanation:
* Hypothecation Agreement: Required for margin accounts, it authorizes the broker-dealer to use the customer's margin securities as collateral to secure loans for funding customer transactions.
* Incorrect Options:
* A: Sharing customer information is regulated under privacy rules (Regulation S-P).
* B: Unauthorized trading violates securities laws.
* C: Selling unpaid securities in cash accounts pertains to Regulation T, not hypothecation agreements.
References:
* FINRA Margin Account Rules: FINRA Rule 4210.

NEW QUESTION # 132
Under FINRA rules, which of the following activities is not considered an outside business activity (OBA)?

A. Professionally refereeing athletic events
B. Selling health insurance
C. Passively investing in a multifamily house for rental purposes
D. Selling real estate

Answer: C

Explanation:
Step by Step Explanation:
* Outside Business Activity Definition: Per FINRA Rule 3270, an OBA involves compensated business activities outside the scope of the RR's role at their firm. Passive investments are excluded because they do not require active involvement.
* Incorrect Options:
* A, B, and C: Selling real estate, selling insurance, and refereeing are considered OBAs as they involve active participation and compensation.
References:
* FINRA Rule 3270 (Outside Business Activities): FINRA Rule 3270.

NEW QUESTION # 133
Which of the following statements is a characteristic of a government bond fund?

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

Answer: B

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.
References:
* SEC Guidance on Mutual Funds: SEC Government Bond Funds.

NEW QUESTION # 134
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