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SIE Exam Format - Realistic Securities Industry Essentials Exam (SIE) Exam Introduction Free PDF Quiz

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FINRA SIE Exam Syllabus Topics:

Topic
Details

Topic 1

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 2

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.

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

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.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q113-Q118):

NEW QUESTION # 113
Which of the following security types is frequently offered to the public as part of a package or unit that also includes a fixed income obligation?

A. Common stock
B. Warrants
C. Options
D. Preferred stock

Answer: B

Explanation:
Step by Step Explanation:
* Warrants: Are often issued alongside fixed-income securities, such as bonds, to enhance their appeal to investors. Warrants give the holder the right to purchase company stock at a specific price in the future.
* Incorrect Options:
* Options: Not typically bundled with fixed-income securities.
* Common and Preferred Stock: Usually issued separately, not as part of a package with bonds.
References:
* SEC Guide on Warrants: SEC Warrants Information.

NEW QUESTION # 114
Which of the following statements is true about a corporation's balance sheet?

A. It reports where a corporation's cash is being generated and where its cash is being spent for a specific period.
B. It lists a company's assets, liabilities, and net worth on the date the statement was prepared.
C. It is also called a profit and loss statement.
D. It summarizes a company's revenues and expenses for the firm's fiscal year.

Answer: B

Explanation:
Step by Step Explanation:
* Balance Sheet Definition: Shows a company's financial position at a specific point in time, listing assets, liabilities, and shareholders' equity (net worth).
* Other Financial Statements:
* Profit and Loss Statement: Summarizes revenues and expenses over a period.
* Cash Flow Statement: Tracks cash inflows and outflows.
References:
* SEC Guide to Financial Statements: SEC Financials.

NEW QUESTION # 115
Under which of the following circumstances, if any, is it permissible for an individual without a Power of Attorney (POA) to sign a customer's name on their behalf?

A. Upon receipt of verbal authorization provided that written authorization is subsequently provided
B. Upon approval by a firm principal
C. When accounts are fully discretionary
D. Never permissible to sign a customer's name on their behalf

Answer: D

Explanation:
Step by Step Explanation:
* Prohibition on Signing Customer Names: It is never permissible to sign a customer's name without written authorization (POA) due to legal and ethical concerns. Unauthorized signing constitutes forgery and violates FINRA rules.
* Incorrect Options:
* A: Firm principal approval does not override this prohibition.
* B: Verbal authorization is insufficient.
* C: Discretionary authority does not allow unauthorized signing.
References:
* FINRA Rule 4512 (Customer Account Information): FINRA Rule 4512.

NEW QUESTION # 116
A registered representative (RR) receives a mutual fund order from a customer at 4:10 p.m. ET. Which of the following statements is true regarding this order?

A. It is not permitted to be accepted as it was received after the market close.
B. It must be accepted as an "as/of" trade for today's price.
C. It must be executed at the next day's opening price.
D. It must be executed at the next closing price.

Answer: D

Explanation:
Mutual funds are traded based on forward pricing. Orders received after the market closes are executed at the NAV calculated at the next market close.
* A is correctbecause it aligns with forward pricing rules.
* B,C, andDare incorrect as they do not follow mutual fund trade practices.

NEW QUESTION # 117
Which of the following responses describes a common feature of a hedge fund?

A. Low minimum investment requirement
B. Transparent as to the underlying investments and strategies
C. Primarily focused on fixed income investments
D. Low liquidity for investors

Answer: D

Explanation:
Step by Step Explanation:
* Low Liquidity: Hedge funds often impose lock-up periods and restrict redemptions, leading to low liquidity for investors.
* Incorrect Options:
* B: Hedge funds typically have high minimum investment requirements, often $1 million or more.
* C: Hedge funds employ diverse strategies, not just fixed income.
* D: Hedge funds are generally opaque about their strategies and holdings to protect their competitive advantage.
References:
* SEC Investor Bulletin on Hedge Funds: SEC Hedge Funds.

NEW QUESTION # 118
......

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