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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 1	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 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.
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.
Topic 5	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.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q15-Q20):

NEW QUESTION # 15
An investor holds 1,000 shares of a stock with a total cost basis of $5,000 in his account when a 1-for-5 reverse stock split is announced. What will be the investor's total cost basis after the payable date of the reverse split?

A. $1,000
B. $25,000
C. $2,500
D. $5,000

Answer: D

Explanation:
Step by Step Explanation:
* Cost Basis in Reverse Split: The total cost basis remains unchanged in a reverse stock split. Only the number of shares and price per share adjust.
* Pre-Split: 1,000 shares at $5 each = $5,000.
* Post-Split: 200 shares at $25 each = $5,000.
* Incorrect Options:
* A, B, and D: Do not reflect the unchanged total cost basis.
References:
* IRS Guidance on Stock Splits: IRS Stock Split Info.

NEW QUESTION # 16
Assume that the economy is operating at nearly full capacity. The initial results of an oversupply of money are most likely to have the greatest impact on which of the following macroeconomic factors?

A. Real output
B. Inflation rate
C. Velocity of money
D. Unemployment rate

Answer: B

Explanation:
When an economy operates near full capacity, additional money in circulation leads to inflation, as demand exceeds the economy's ability to increase supply.
* B is correctbecause inflation is the primary impact when supply cannot keep up with excess demand.
* Ais incorrect because output does not significantly increase when capacity is already maximized.
* Cis incorrect because velocity measures the rate at which money circulates, not the impact of oversupply.
* Dis incorrect as unemployment is already low when the economy is at full capacity.

NEW QUESTION # 17
A customer holds 1,000 shares of Company XYZ and wants to sell covered calls against this position. What is the maximum number of contracts that the customer could sell and still remain covered?

A. 100 contracts
B. 10 contracts
C. 1,000 contracts
D. 5 contracts

Answer: B

Explanation:
Each option contract represents 100 shares. A covered call involves selling a call option while holding an equivalent number of shares to deliver if the option is exercised.
* The customer owns 1,000 shares.
* Since 1 contract = 100 shares, the maximum number of contracts the customer can sell is:1,000 shares
÷ 100 shares/contract = 10 contracts.
* B is correctbecause selling 10 contracts corresponds to 1,000 shares, fully covering the position.

NEW QUESTION # 18
Which of the following responses describes a warrant?

A. An interest-paying security
B. A fixed-income security issued by a state or municipality
C. Redemption rights for a debt instrument
D. The right to purchase a specified amount of shares

Answer: D

Explanation:
Step by Step Explanation:
* Warrants: These are long-term options issued by a company that give the holder the right to buy shares at a specific price before expiration. They are typically attached to bond or stock offerings to make them more attractive.
* Incorrect Options:
* A: Warrants do not pay interest.
* B: Refers to callable bonds, not warrants.
* D: Describes municipal bonds, not warrants.
References:
* SEC Guide to Warrants and Options: SEC Warrants Information.

NEW QUESTION # 19
A market maker quotes the market on an NMS equity security as 39.05 - 39.15 [5x10]. Which of the following orders is the market maker required to fill?

A. A buy order for 2,000 shares at $39.15
B. A sell order for 300 shares at $39.05
C. A buy order for 1,000 shares at $39.10
D. A sell stop order for 500 shares at $39.00

Answer: A

Explanation:
The quote indicates that the market maker is willing to buy 500 shares at $39.05 (bid) and sell 1,000 shares at
$39.15 (ask). Market makers are required to honor their quoted size for orders that fall within their bid/ask prices.
* D is correctbecause the market maker is obligated to sell at least 1,000 shares at $39.15 as it falls within the quoted size and price.
* Bis incorrect because the bid is at $39.05, not $39.00.
* Cis incorrect because $39.10 does not match the ask price.
* Ais invalid as a stop order would not activate at $39.00.

NEW QUESTION # 20
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Latest SIE Exam Pdf, SIE 100% Exam Coverage

FINRA SIE Exam Syllabus Topics:

FINRA SIE 100% Exam Coverage - Passing SIE Score

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q15-Q20):

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