FREE PDF SIE - SECURITIES INDUSTRY ESSENTIALS EXAM (SIE)–RELIABLE AUTHORIZED PDF

Free PDF SIE - Securities Industry Essentials Exam (SIE)–Reliable Authorized Pdf

Free PDF SIE - Securities Industry Essentials Exam (SIE)–Reliable Authorized Pdf

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Free PDF Quiz 2025 SIE: High Hit-Rate Securities Industry Essentials Exam (SIE) Authorized Pdf

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FINRA SIE Exam Syllabus Topics:

TopicDetails
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
  • 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.
Topic 5
  • 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.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q33-Q38):

NEW QUESTION # 33
Executing trades using the delivery versus payment (DVP) settlement process requires the buyer to make a cash payment by which of the following deadlines?

  • A. Before or at the same time as securities being delivered
  • B. No later than 3 days after the securities are delivered
  • C. On the 5th business day after execution
  • D. By the agreed-upon settlement date with the issuer

Answer: A

Explanation:
Step by Step Explanation:
* DVP Process: Ensures that payment occurs simultaneously with the delivery of securities, mitigating counterparty risk. Cash payment is made before or at the time of delivery.
* Incorrect Options:
* A: The T+5 timeline is not standard for DVP.
* C: Payment must occur at delivery, not after.
* D: Settlement date agreements with the issuer are irrelevant for DVP.
References:
* FINRA Guidelines on DVP/RVP Transactions: FINRA DVP Info.


NEW QUESTION # 34
At a prospecting event, a registered representative (RR) provides cards for attendees to write down their contact information if they want to have a follow-up meeting with her. Which of the following actions should the RR take in this situation to comply with telemarketing rules?

  • A. Contact the prospects at will since they provided express written consent
  • B. Obtain the broker-dealer's approval before making a call
  • C. Prior to contacting the prospects, check all of the names on the cards to make sure they are not on the National Do Not Call Registry
  • D. Limit contact with prospects to between 9 a.m. and 9 p.m.

Answer: C

Explanation:
Step by Step Explanation:
* Telemarketing Rules (FINRA Rule 3230): Require firms to check the National Do Not Call Registry before contacting individuals, even if those individuals provide their contact information voluntarily.
* Incorrect Options:
* A: Approval isn't required for individual follow-ups; compliance with the registry is.
* B: While calls must be limited to appropriate hours, the registry check is still mandatory.
* C: Written consent does not override the registry requirement.
References:
* FINRA Rule 3230 (Telemarketing): FINRA Rule 3230.


NEW QUESTION # 35
A municipal securities dealer makes a political contribution of $990 to a local mayoral candidate. At the end of the quarter, to whom, if anyone, must the dealer report the contribution?

  • A. SEC
  • B. MSRB
  • C. FINRA
  • D. No disclosure required as the amount is below the reporting threshold

Answer: B

Explanation:
Step by Step Explanation:
* MSRB Rule G-37: Requires municipal securities dealers to report contributions to the MSRB, even if the amount is below the $1,000 threshold that would trigger a two-year prohibition on municipal business.
* Incorrect Options:
* SEC and FINRA: Not involved in reporting political contributions for municipal securities.
References:
* MSRB Rule G-37 (Political Contributions): MSRB Rule G-37.


NEW QUESTION # 36
When are registered persons required to fulfill their Continuing Education (CE) Regulatory Element requirement?

  • A. After the initial three-year requirement and then every two years
  • B. Semiannually
  • C. Annually
  • D. Upon the receipt of a customer complaint

Answer: A

Explanation:
FINRA's Continuing Education (CE) requirements include the Regulatory Element, which must be completed:
* Within 120 days of the second anniversary of a registered representative's initialregistration.
* Every three years thereafter (changed to every two years as of 2023).
* C is correctbecause registered persons must complete the CE Regulatory Element after their initial requirement and then every two years.
* AandBare incorrect because CE is not required annually or semiannually.
* Dis incorrect because CE is not tied to customer complaints.


NEW QUESTION # 37
An investor who lives on a fixed income and is concerned about inflation is most exposed to which of the following risks?

  • A. Economic risk
  • B. Market risk
  • C. Interest rate risk
  • D. Purchasing power risk

Answer: D

Explanation:
Purchasing power risk, also known as inflation risk, occurs when inflation reduces the real value of a fixed- income stream. Fixed payments (e.g., bond interest or annuity payments) lose buying power as inflation rises.
* D is correctbecause inflation directly affects fixed income by eroding purchasing power.
* Ais incorrect because market risk relates to fluctuations in market prices, not inflation.
* Bis incorrect because economic risk generally refers to broader economic downturns.
* Cis incorrect because interest rate risk involves changes in bond prices due to interest rate movements, not inflation.


NEW QUESTION # 38
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