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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	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 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	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 5	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.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q102-Q107):

NEW QUESTION # 102
Which of the following activities is permitted during the cooling-off period of an initial public offering (IPO)?

A. Market the new security to potential investors
B. Distribute final prospectus
C. Deliver securities to purchasers
D. Conduct sales to public investors

Answer: A

Explanation:
The cooling-off period begins after the registration statement is filed with the SEC and lasts for at least 20 days. During this time, the issuer and underwriters can market the securities but cannot finalize sales.
* D is correctbecause marketing (e.g., roadshows) is permitted during the cooling-off period.
* Ais incorrect because the final prospectus is distributed after the offering is effective.
* BandCare incorrect because sales and deliveries are prohibited until the registration becomes effective.

NEW QUESTION # 103
An investor is bullish on the technology sector and heavily invests in microchip companies. Impactful regulatory changes are announced that will negatively affect microchip manufacturing. In order to mitigate the risk to his portfolio, the investor should:

A. Purchase holdings uncorrelated to the technology sector.
B. Sell holdings that are unaffected by the regulatory changes.
C. Buy more shares of the microchip companies already in his portfolio.
D. Purchase shares of other microchip companies in the technology sector.

Answer: A

Explanation:
The announcement of negative regulatory changes introducesunsystematic risk, specific to the technology sector. Diversification into unrelated sectors can reduce exposure to this risk.
* A is correctbecause uncorrelated holdings reduce portfolio risk.
* Bis incorrect because adding more microchip companies increases exposure to sector-specific risk.
* Cdoes not address the core issue of over-concentration.
* Dis the opposite of mitigating risk.

NEW QUESTION # 104
Which of the following account registration types is subject to probate upon the death of the account owner?

A. Transfer-on-death (TOD)
B. Individual
C. Irrevocable trust
D. Joint tenants with right of survivorship (JTWROS)

Answer: B

Explanation:
Accounts held individually are subject to probate, which is the legal process of administering the decedent's estate. Probate determines the distribution of assets according to the deceased's will or state intestacy laws.
* A is correctbecause individual accounts require probate to transfer assets.
* Bis incorrect because irrevocable trusts bypass probate.
* Cis incorrect because TOD accounts allow direct transfer of assets to named beneficiarieswithout probate.
* Dis incorrect because JTWROS accounts transfer ownership to the surviving account holder automatically.

NEW QUESTION # 105
A currency devaluation impacts a country's economic activity in which of the following ways?

A. Increases imports from merchandise trade countries
B. Decreases gross domestic product (GDP)
C. Decreases inflation
D. Makes exports cost less in merchandise trade countries

Answer: D

Explanation:
Currency devaluation reduces the value of a country's currency relative to others, making its exports cheaper and more competitive internationally. This stimulates demand for the country's goods and services.
* D is correctbecause devaluation reduces export costs, encouraging foreign buyers.
* Ais incorrect because devaluation can increase inflation by raising the cost of imported goods.
* Bis incorrect because GDP often rises due to increased export demand.
* Cis incorrect because imports become more expensive after devaluation, reducing demand.

NEW QUESTION # 106
Which of the following statements is true of the writer of a listed equity call option?

A. They have the obligation to sell stock at a fixed strike price.
B. They have the right to buy stock at a fixed strike price.
C. They have the right to sell stock at a fixed strike price.
D. They have the obligation to buy stock at a fixed strike price.

Answer: A

Explanation:
Step by Step Explanation:
* Call Option Writer: When writing (selling) a call option, the writer has the obligation to sell the underlying stock at the strike price if the buyer exercises the option.
* Incorrect Options:
* A & B: Only the option buyer has rights, not the writer.
* D: Obligations to buy stock apply to put option writers, not call option writers.
References:
* Options Clearing Corporation (OCC) Options Education: OCC Options Education.

NEW QUESTION # 107
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