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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 1	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 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	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 4	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 (Q129-Q134):

NEW QUESTION # 129
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 sell stop order for 500 shares at $39.00
B. A buy order for 2,000 shares at $39.15
C. A buy order for 1,000 shares at $39.10
D. A sell order for 300 shares at $39.05

Answer: B

NEW QUESTION # 130
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. 5 contracts
C. 1,000 contracts
D. 10 contracts

Answer: D

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 # 131
An investor buys 100 shares of a stock at $50.00 per share. The company declares a 10% stock dividend.
What will the investor's cost basis per share be following the payment of the dividend?

A. $45.00
B. $50.00
C. $50.50
D. $45.45

Answer: D

Explanation:
A stock dividend increases the number of shares owned without affecting the total cost basis. The new cost basis per share is calculated by dividing the original total investment by the new number of shares:
* Original total investment = 100 shares × $50.00 = $5,000
* After a 10% stock dividend, the investor owns 110 shares.
* New cost basis = $5,000 ÷ 110 shares =$45.45per share.
* B is correctbecause it reflects the adjusted cost basis per share.

NEW QUESTION # 132
Which of the following is the primary risk of using asset allocation models without periodic rebalancing?

A. Interest rate risk
B. Marketability
C. Overweighting
D. Inflation

Answer: C

Explanation:
Step by Step Explanation:
* Rebalancing: Ensures that a portfolio remains aligned with its target allocation. Without rebalancing, outperforming assets can become overweighted, increasing exposure to specific risks.
* Incorrect Options:
* Inflation: Impacts purchasing power but isn't tied to rebalancing.
* Marketability: Refers to liquidity and isn't linked to allocation models.
* Interest Rate Risk: Relates to fixed-income investments and isn't directly addressed by allocation models.
References:
* SEC Investor Bulletin on Asset Allocation: SEC Asset Allocation.

NEW QUESTION # 133
An investor wants to purchase additional mutual fund shares with income distributed by the fund. Which of the following fund options permits this?

A. Dollar cost averaging
B. Dividend reinvestment
C. Capital gains reinvestment
D. Asset reallocation

Answer: B

Explanation:
Step by Step Explanation:
* Dividend Reinvestment Plans (DRIPs): These allow investors to automatically reinvest income distributed by the mutual fund to purchase additional shares.
* Dollar Cost Averaging: Refers to systematic investments over time, not directly tied to income distributions.
* Capital Gains Reinvestment: Involves reinvesting profits from the sale of fund holdings, which is distinct from dividend reinvestment.
References:
* FINRA Mutual Fund Features: FINRA Mutual Funds.

NEW QUESTION # 134
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