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FINRA SIE Exam Syllabus Topics:

Topic
Details

Topic 1

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 2

Regulatory Entities, Agencies, and Market Participants: This section of the exam measures the skills of Financial Regulatory Analysts and covers the structure, authority, and jurisdiction of key regulatory bodies overseeing financial markets. The SEC's role in enforcing securities regulations is assessed, along with the authority of self-regulatory organizations such as FINRA and MSRB. Candidates must also understand the functions of other financial regulators, including the Department of the Treasury and state regulatory agencies. One key skill evaluated is identifying the jurisdictional scope of different financial regulators.

Topic 3

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.

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Authoritative SIE - Securities Industry Essentials Exam (SIE) Real Exam Answers

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q98-Q103):

NEW QUESTION # 98
When exercised, an option written on which of the following items must be settled in cash?

A. Preferred stock
B. Master limited partnership
C. Equity index
D. Exchange-traded funds (ETFs)

Answer: C

Explanation:
Step by Step Explanation:
* Equity Index Options: These are cash-settled because the underlying asset is not a physical security but a theoretical value representing the index.
* Incorrect Options:
* Preferred Stock, Master Limited Partnerships, and ETFs: These involve physical delivery of the underlying asset upon exercise.
References:
* Options Clearing Corporation (OCC) Guidelines: OCC Cash-Settled Options.

NEW QUESTION # 99
A registered representative (RR) has a referral relationship with a family friend who is not affiliated with the financial industry. In the absence of a formal agreement, which of the following ways is the RR permitted to compensate the family friend for referrals?

A. The RR is permitted to give the family friend prepaid credit cards equal to 50% of the commissions earned on the referrals.
B. The RR is permitted to split commissions with the family friend.
C. The RR is permitted to take the family friend out to dinner as a way to say thank you.
D. The RR is permitted to pay a flat-rate referral fee to the family friend.

Answer: C

Explanation:
FINRA prohibits the payment of referral fees or splitting of commissions with individuals who are not registered with a broker-dealer. However, taking a friend out to dinner as a gesture of gratitude is allowed, as it does not involve cash or monetary compensation directly tied to the referral.
* C is correctbecause non-monetary expressions of gratitude (like a dinner) are permitted under FINRA rules.
* Ais incorrect because commission splitting with unregistered individuals is prohibited.
* Bis incorrect because paying referral fees is also prohibited without registration.
* Dis incorrect because giving prepaid credit cards tied to commission income violates compensation rules.

NEW QUESTION # 100
For a customer thinking about purchasing a high-income bond mutual fund, which of the following is considered the primary risk of the underlying securities in the portfolio?

A. Purchasing power risk
B. Political risk
C. Taxability risk
D. Credit risk

Answer: D

Explanation:
High-income bond mutual funds typically invest in lower-rated (junk) bonds that offer higher yields. These bonds are exposed to significant credit risk, as issuers may default on their payments.
* A is correctbecause credit risk is the primary concern with high-yield bonds.
* Bis incorrect as political risk is more relevant for international investments.
* Cis incorrect because taxability risk is not specific to bond mutual funds.
* Dis incorrect because purchasing power risk is more relevant for fixed-income investments during inflationary periods but is not the primary risk here.

NEW QUESTION # 101
An investor who lives on a fixed income and is concerned about inflation is most exposed to which of the following risks?

A. Purchasing power risk
B. Economic risk
C. Market risk
D. Interest rate risk

Answer: A

Explanation:
Purchasing power risk, also known as inflation risk, occurs when inflation reduces the real value of a fixed- income stream. Fixed payments (e.g., bond interest or annuity payments) lose buying power as inflation rises.
* D is correctbecause inflation directly affects fixed income by eroding purchasing power.
* Ais incorrect because market risk relates to fluctuations in market prices, not inflation.
* Bis incorrect because economic risk generally refers to broader economic downturns.
* Cis incorrect because interest rate risk involves changes in bond prices due to interest rate movements, not inflation.

NEW QUESTION # 102
Which of the following is considered nonpublic information?

A. Customer's telephone number
B. Customer's address
C. Customer's name
D. Customer's net worth

Answer: D

Explanation:
Step by Step Explanation:
* Nonpublic Information: A customer's net worth is nonpublic personal information that requires confidentiality under Regulation S-P.
* Incorrect Options:
* A, B, and D: Names, addresses, and phone numbers may be public unless linked to specific financial or personal details.
References:
* SEC Regulation S-P (Privacy of Consumer Financial Information): SEC Regulation S-P.

NEW QUESTION # 103
......

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