SIE Test Questions Answers & SIE Certified Questions

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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	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 3	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.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q125-Q130):

NEW QUESTION # 125
Which of the following disclosures is a municipal securities dealer required to provide its customers once every calendar year?

A. The location and availability of the MSRB investor brochure
B. The firm's address
C. The firm's financial standing
D. FINRA violations of all registered representatives

Answer: A

Explanation:
Step by Step Explanation:
* MSRB Rule G-10: Requires municipal securities dealers to notify customers annually about the availability of the MSRB investor brochure, which explains investor protections and complaint filing procedures.
* Incorrect Options:
* A and B: Address and financial standing are not specifically required disclosures.
* C: FINRA violations are not a required disclosure under MSRB rules.
References:
* MSRB Rule G-10 (Investor Brochure Requirement): MSRB Rule G-10.

NEW QUESTION # 126
The Options Clearing Corporation (OCC) is a registered clearing agency for which of the following products?

A. Exchange-traded funds (ETFs)
B. Long-term Equity Anticipation Securities (LEAPS)
C. Over-the-counter bonds
D. Listed stocks

Answer: B

Explanation:
The Options Clearing Corporation (OCC) is responsible for issuing and guaranteeing the performance of listed options contracts, including Long-term Equity Anticipation Securities (LEAPS), which are long-term options.
* D is correctbecause LEAPS are a type of listed options contract cleared by the OCC.
* Ais incorrect because listed stocks are not options contracts.
* Bis incorrect because over-the-counter bonds are not cleared by the OCC.
* Cis incorrect because ETFs are not options, though ETF options may be cleared by the OCC.

NEW QUESTION # 127
An investor sells shares of a closed-end fund at the market. Which of the following responses best describes the net proceeds to be received?

A. Net asset value (NAV)
B. Bid price less any commission
C. NAV less any redemption fee
D. Public offering price (POP) less any redemption fee

Answer: B

Explanation:
Step by Step Explanation:
* Closed-End Funds: Trade on exchanges like stocks, and the investor receives the bid price (market price) minus any applicable commissions.
* Incorrect Options:
* A & B: NAV applies to open-end mutual funds, not closed-end funds.
* D: POP applies to initial sales of mutual fund shares.
References:
* SEC Guidance on Closed-End Funds: SEC Closed-End Funds.

NEW QUESTION # 128
Which of the following is considered nonpublic information?

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

Answer: C

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 # 129
Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities, which of the following conditions must be met?

A. The company must be traded on a listed stock exchange.
B. The issuer must notify FINRA of the proposed sale by submitting a Form 144.
C. The affiliate must have a holding period of six months.
D. The shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.

Answer: C

Explanation:
Step by Step Explanation:
* Rule 144 Holding Period: Restricted securities held by affiliates require a six-month holding period before sale, provided the issuer is subject to SEC reporting requirements.
* Other Options:
* Notification to FINRA (C) is incorrect; Form 144 is submitted to the SEC, not FINRA.
* The 10% ADTV limitation (D) applies to the volume of shares sold, not the conditions for sale.
References:
* SEC Rule 144 (Selling Restricted Securities): SEC Rule 144.

NEW QUESTION # 130
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