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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	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 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.
Topic 4	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.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q11-Q16):

NEW QUESTION # 11
An investor sells shares of a closed-end fund at the market. Which of the following responses best describes the net proceeds to be received?

A. Public offering price (POP) less any redemption fee
B. Bid price less any commission
C. NAV less any redemption fee
D. Net asset value (NAV)

Answer: B

Explanation:
Step by Step Explanation:
* Closed-End Funds: Trade on exchanges like stocks, and the investor receives the bid price (market price) minus any applicable commissions.
* Incorrect Options:
* A & B: NAV applies to open-end mutual funds, not closed-end funds.
* D: POP applies to initial sales of mutual fund shares.
References:
* SEC Guidance on Closed-End Funds: SEC Closed-End Funds.

NEW QUESTION # 12
Rising economic activity is most likely to increase revenues of which of the following sectors?

A. Consumer discretionary
B. Utilities
C. Healthcare
D. Consumer staples

Answer: A

Explanation:
Step by Step Explanation:
* Consumer Discretionary Sector: Includes products and services that are not essential, such as luxury items, travel, and entertainment. Revenues increase as disposable income rises during economic expansion.
* Consumer Staples and Utilities: These sectors are defensive and less impacted by economic cycles.
* Healthcare: Also less correlated with economic cycles due to its essential nature.
References:
* SEC and FINRA Guidance on Sectors: Investopedia Sector Overview.

NEW QUESTION # 13
A real estate investment trust (REIT) is required to invest what percentage of total assets in real-estate-related assets to maintain favorable tax treatment?

A. At least 75% of total assets
B. 100% of assets
C. At least 50% of total assets
D. At least 90% of total assets

Answer: A

Explanation:
Step by Step Explanation:
* REIT Requirements: REITs must invest at least 75% of their total assets in real estate to qualify for favorable tax treatment under IRS regulations.
* 90% Rule: Refers to the distribution requirement for taxable income, not asset allocation.
* 100% Rule: There is no requirement to allocate 100% of assets to real estate.
References:
* IRS Publication 542 (Real Estate Investment Trusts): IRS REIT Guidelines.

NEW QUESTION # 14
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. Market risk
C. Interest rate risk
D. Economic 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 # 15
A registered representative wants to open an account for himself at a different financial institution. Under FINRA rules, which of the following accounts requires prior written consent from his employing broker- dealer?

A. A 529 savings plan account established for his grandchild
B. An investment advisory account in which securities transactions are effected
C. Variable contracts registered under the Investment Company Act
D. Mutual fund accounts held directly with the fund company

Answer: B

Explanation:
Step by Step Explanation:
* FINRA Rule 3210: Requires registered representatives to obtain written consent from their employing broker-dealer before opening accounts at other financial institutions if securities transactions will occur.
* Incorrect Options:
* A, B, and C: These accounts are exempt because they do not involve direct securities transactions requiring monitoring.
References:
* FINRA Rule 3210 (Accounts at Other Institutions): FINRA Rule 3210.

NEW QUESTION # 16
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FINRA SIE Exam Syllabus Topics:

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q11-Q16):

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