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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 1	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 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	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	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 5	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 (Q88-Q93):

NEW QUESTION # 88
Class A and Class C shares of a mutual fund differ in which of the following ways?

A. The underlying investments
B. The expense ratio
C. The net asset value (NAV)
D. When the customer is permitted to purchase

Answer: B

Explanation:
Step by Step Explanation:
* Expense Ratio: Class A shares typically have lower ongoing expense ratios but higher front-end sales charges. Class C shares often have higher ongoing expense ratios but no front-end charges.
* Incorrect Options:
* B: NAV is determined daily and does not vary by share class.
* C: All share classes invest in the same underlying portfolio.
* D: Purchase timing is the same for all share classes.
References:
* SEC Guidance on Mutual Fund Share Classes: SEC Fund Classes.

NEW QUESTION # 89
Which of the following securities has the greatest investment risk?

A. Technology stocks
B. Corporate bonds
C. Government bonds
D. Blue chip stocks

Answer: A

Explanation:
Technology stocks are considered high-risk investments due to their volatility and sensitivity to economic cycles, regulatory changes, and technological advancements. While they may offer significant growth potential, they carry greater risk than blue chip stocks, corporate bonds, or government bonds.
* C is correctbecause technology stocks are subject to high volatility and risk.
* Ais incorrect because blue chip stocks are generally stable and lower-risk.
* Bis incorrect because corporate bonds carry moderate risk, depending on the issuer's creditworthiness.
* Dis incorrect because government bonds are considered low-risk due to the backing of the issuing government.

NEW QUESTION # 90
SIPC provides investor protection for its members' customers in which of the following situations?

A. Failure of a brokerage firm in the event of insolvency
B. Failure of a brokerage firm to meet customers' investment expectations
C. Losses incurred on futures contracts due to fraud or negligence
D. Losses greater than 10% due to systemic market decline

Answer: A

Explanation:
The Securities Investor Protection Corporation (SIPC) protects customers if a broker-dealer fails due to insolvency. Coverage applies to cash and securities in customer accounts, up to $500,000total, including
$250,000 for cash.
* A is correctbecause SIPC's purpose is to protect against losses arising from a broker-dealer's insolvency.
* Bis incorrect because SIPC does not guarantee investment performance.
* Cis incorrect because SIPC does not cover market losses.
* Dis incorrect because futures contracts are not covered under SIPC.

NEW QUESTION # 91
Which of the following rates is the interest rate at which banks borrow and lend to each other on an overnight basis?

A. Federal funds rate
B. Discount rate
C. LIBOR
D. Prime rate

Answer: A

Explanation:
Step by Step Explanation:
* Federal Funds Rate: The rate at which depository institutions lend reserves to each other overnight. It is set by the Federal Open Market Committee (FOMC).
* Other Rates:
* Prime Rate: Rate banks charge their most creditworthy customers.
* Discount Rate: Rate the Federal Reserve charges banks for borrowing directly from it.
* LIBOR: Interbank lending rate used internationally, now being phased out.
References:
* Federal Reserve Explanation of Rates: Federal Funds Rate.

NEW QUESTION # 92
Which of the following is considered nonpublic information?

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

Answer: A

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 # 93
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SIE Exam Forum, SIE Reliable Exam Cost

FINRA SIE Exam Syllabus Topics:

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q88-Q93):

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