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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	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	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 4	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 5	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 (Q139-Q144):

NEW QUESTION # 139
Which of the following activities engaged in by a registered person is considered a private securities transaction?

A. Investing personal money in shares of a listed security in a brokerage account
B. Working for an insurance company selling term life insurance policies
C. Helping a friend raise money for a startup company they founded
D. Soliciting donations to a charity

Answer: C

Explanation:
A private securities transaction involves the sale of securities outside the scope of a registered representative's employment with their member firm. Such transactions must be disclosed to and approved by the firm under FINRA Rule 3280.
* B is correct because raising money for a startup involves the sale of securities and must be reported as a private securities transaction.
* A is incorrect because soliciting charitable donations does not involve securities.
* C is incorrect because selling term life insurance policies is not a securities transaction.
* D is incorrect because investing personal money does not involve soliciting or selling securities to others.
Reference: FINRA Rule 3280 (Private Securities Transactions)

NEW QUESTION # 140
A registered representative (RR) at a member firm is the subject of a statutory disqualification. Which of the following statements is true?

A. A statutory disqualification, although reportable to CRD, does not affect employment in the securities industry.
B. The RR is prohibited from soliciting business but is permitted to accept unsolicited orders.
C. The RR is prohibited from employment by a member firm in any registered capacity but is permitted to be employed in an unregistered capacity.
D. The RR is prohibited from any association or employment with a member firm unless he obtains a waiver.

Answer: D

Explanation:
A statutory disqualification occurs if an RR has been convicted of certain crimes, violated securities laws, or been barred by a regulatory authority. Under FINRA rules, the RR cannot associate with a member firm in any capacity unless they obtain a waiver from FINRA.
* B is correctbecause the disqualified person must obtain a waiver to continue employment.
* AandCare incorrect because the RR is not allowed to associate with the firm in any capacity without a waiver.
* Dis incorrect because statutory disqualification directly affects the RR's employment status.

NEW QUESTION # 141
The cash value of a variable life insurance policy is affected by which of the following factors?

A. Changes in the death benefit
B. Fluctuating market conditions
C. Changes in the beneficiary
D. Contingent deferred sales charges

Answer: B

Explanation:
Step by Step Explanation:
* Variable Life Insurance: The cash value depends on the performance of the underlying investment options.
* Fluctuating Market Conditions: Since the cash value is linked to market performance, fluctuations directly impact its value.
* Beneficiary/Death Benefit Changes: These do not directly impact the cash value unless they involve additional costs or changes to premiums.
SEC Bulletin on Variable Life Insurance: SEC Variable Insurance.

NEW QUESTION # 142
Which of the following responses describes treasury stock?

A. Stock subsequently reacquired by the issuer
B. Authorized but unissued stock
C. U.S. government securities held by a corporation
D. Restricted stock owned by officers

Answer: A

Explanation:
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.

NEW QUESTION # 143
After a customer purchases bonds at a yield of 5.00%, the current yield at market price increases to 5.25%.
Which of the following statements is true regarding the value of the bonds?

A. The face value of the bonds has decreased.
B. The value of the bonds has increased.
C. There is no change in the value of the bonds.
D. The value of the bonds has decreased.

Answer: D

Explanation:
When bond yields rise, the price of existing bonds falls. This inverse relationship exists because the fixed coupon payments of the bonds become less attractive compared to new bonds issued at higher yields.
* B is correct because the bond's market value decreases as its yield increases.
* A is incorrect because bond values decrease, not increase, with rising yields.
* C is incorrect because the face value (par value) remains unchanged.
* D is incorrect because changes in yield directly affect the bond's market price.
Reference: SIE Study Guide, Chapter 3: Bond Pricing and Yields

NEW QUESTION # 144
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