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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	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 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	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.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q69-Q74):

NEW QUESTION # 69
Which of the following types of securities is an equity?

A. Commercial paper
B. Preferred stock
C. Certificate of deposit (CD)
D. Exchange-traded note (ETN)

Answer: B

Explanation:
Equity securities represent ownership in a company, and preferred stock is a type of equity security that pays dividends and has priority over common stock in liquidation.
* A is correctbecause preferred stock is an equity security.
* Bis incorrect because commercial paper is a short-term debt security.
* Cis incorrect because certificates of deposit (CDs) are fixed-income banking products.
* Dis incorrect because exchange-traded notes (ETNs) are unsecured debt securities.

NEW QUESTION # 70
Which of the following transactions is most profitable if executed prior to a significant rise in a company's stock price?

A. Buying a call option
B. Selling a put option
C. Selling a call option
D. Buying a put option

Answer: A

Explanation:
Buying a call option gives the investor the right to purchase the stock at a fixed price (strike price). If the stock's price rises significantly, the value of the call option increases, allowing the investor to profit.
* B is correctbecause a call option profits directly from a stock price increase.
* Ais incorrect because a put option profits from a stock price decline.
* CandDare incorrect because selling options limits profit potential and exposes the seller to significant risk if the stock moves unfavorably.

NEW QUESTION # 71
Which of the following responses best describes how member firms are required to retain electronic correspondence and internal communications of associated persons?

A. In a non-rewriteable format
B. In the firm's cloud storage
C. On the firm's server
D. In hard copy

Answer: A

Explanation:
FINRA Rule 4511 requires member firms to retain records, including electronic communications, in anon- rewriteable, non-erasable format(often referred to as WORM: Write Once, Read Many). This ensures that records cannot be altered or deleted once stored.
* D is correctbecause firms must store records in a tamper-proof format.
* A,B, andCare incorrect because these formats do not guarantee compliance with the tamper-proof requirements set forth by FINRA and the SEC.

NEW QUESTION # 72
A broker-dealer (BD) creates a marketing postcard that includes a statement regarding FINRA's endorsement of the BD. Which of the following responses is true?

A. The statement is permissible if a principal of the BD approves it in writing prior to use.
B. The statement is permissible if the statement is approved in writing by FINRA prior to use.
C. The statement is permissible if the postcard does not discuss specific investment opportunities.
D. The statement regarding FINRA's endorsement is not permissible.

Answer: D

Explanation:
Step by Step Explanation:
* FINRA Rule 2210: Firms are prohibited from suggesting or implying FINRA's endorsement or approval in any advertising materials.
* Approvals: Even if a principal or FINRA approves the content, such a statement remains impermissible.
* Key Point: FINRA's role is to regulate, not to endorse firms or their marketing.
References:
* FINRA Rule 2210 (Communications with the Public): FINRA Rule 2210.

NEW QUESTION # 73
A registered representative (RR) intends to enter into an arrangement for compensation with an unaffiliated entity to participate in the sale of promissory notes to the general public. Which of the following statements is true?

A. The RR is not required to provide prior notice to his firm as promissory notes are not considered securities.
B. The RR must receive written approval from his firm prior to entering into this arrangement.
C. This is a permissible arrangement, and the RR is only required to notify his firm.
D. The RR is required to notify his firm regarding this arrangement if compensation received is directly related to transactions.

Answer: B

Explanation:
Step by Step Explanation:
* Private Securities Transactions: Under FINRA Rule 3280, RRs must obtain written approval from their employing firm before participating in the sale of securities outside the firm.
* Promissory Notes: These are typically considered securities, requiring prior approval.
* Incorrect Options:
* A & C: Notification alone is insufficient; written approval is required.
* D: Promissory notes are generally treated as securities under federal law.
References:
* FINRA Rule 3280 (Private Securities Transactions): FINRA Rule 3280.

NEW QUESTION # 74
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Reliable SIE Dumps Ebook - SIE Trustworthy Pdf

FINRA SIE Exam Syllabus Topics:

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q69-Q74):

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