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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	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	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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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q65-Q70):

NEW QUESTION # 65
SIPC provides investor protection for its members' customers in which of the following situations?

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

Answer: D

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 # 66
Class A and Class C shares of a mutual fund differ in which of the following ways?

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

Answer: A

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 # 67
Pursuant to the Securities Act of 1933, registration is required for which of the following securities?

A. Private placements
B. U.S. government issues
C. Open-end investment companies
D. Municipal securities

Answer: C

Explanation:
The Securities Act of 1933 requires securities offered to the public to be registered with the SEC unless they qualify for an exemption. Open-end investment companies (mutual funds) are not exempt and must register.
* D is correctbecause mutual funds are publicly offered and require registration.
* Ais incorrect because private placements are exempt under Regulation D.
* Bis incorrect because municipal securities are exempt under Section 3(a)(2).
* Cis incorrect because U.S. government securities are also exempt under Section 3(a)(2).

NEW QUESTION # 68
A customer purchases 100 shares of stock. The customer fears a decline in the share price and would like to protect his investment and minimize loss. Which of the following strategies should the customer employ to lock in his profit?

A. Purchase a put
B. Purchase a call
C. Sell a put
D. Sell a call

Answer: A

Explanation:
Purchasing a put option allows the customer to sell the stock at a predetermined price (the strike price) if the share price declines. This strategy protects against downside risk while maintaining upside potential.
* C is correctbecause a put acts as insurance, locking in a minimum sale price.
* Ais incorrect because selling a put exposes the investor to additional risk if the stock declines.
* Bis incorrect because selling a call generates income but does not protect against downside risk.
* Dis incorrect because purchasing a call is a bullish strategy unrelated to protecting existing positions.

NEW QUESTION # 69
Which of the following rates is the interest rate at which banks borrow and lend to each other on an overnight basis?

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

Answer: D

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 # 70
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