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FINRA SIE Questions: [2025] To Pass Exam On the 1st Attempt

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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

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 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.

Topic 5

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.

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SIE Practice Exams & SIE Exam Cost

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q120-Q125):

NEW QUESTION # 120
Pursuant to FINRA rules, which of the following content is inappropriate to link to from a business-related social media site?

A. A link to the firm's website discussing its products and services
B. A link to information on a mutual fund that discusses previous performance over the last five years
C. A link to a company's filing on EDGAR that contains information on a press release about the company
D. A link to an investment's website stating the investment's performance over the next five years

Answer: D

Explanation:
Under FINRA Rule 2210, firms must avoid making predictions or projections of future investment performance.
* B is correctbecause it involves prohibited predictive statements.
* A,C, andDare acceptable under FINRA guidelines, as they do not involve prohibited content.

NEW QUESTION # 121
A registered representative wants to open an account for himself at a different financial institution. Under FINRA rules, which of the following accounts requires prior written consent from his employing broker- dealer?

A. Mutual fund accounts held directly with the fund company
B. An investment advisory account in which securities transactions are effected
C. Variable contracts registered under the Investment Company Act
D. A 529 savings plan account established for his grandchild

Answer: B

Explanation:
Step by Step Explanation:
* FINRA Rule 3210: Requires registered representatives to obtain written consent from their employing broker-dealer before opening accounts at other financial institutions if securities transactions will occur.
* Incorrect Options:
* A, B, and C: These accounts are exempt because they do not involve direct securities transactions requiring monitoring.
References:
* FINRA Rule 3210 (Accounts at Other Institutions): FINRA Rule 3210.

NEW QUESTION # 122
A customer will be out of the country for the next two months on business and asks his firm to hold his mail until he returns. Which of the following statements is true regarding this request?

A. At the discretion of the RR, the firm is permitted to hold the customer's mail provided it takes reasonable actions to ensure no tampering occurs with this mail.
B. The firm must receive written instructions from the customer that include the time period for the requested mail hold.
C. The firm is prohibited from holding the customer's mail under FINRA rules due to the personal information contained.
D. The firm is permitted to hold the mail as long as the registered representative (RR) complies with the customer's oral instructions.

Answer: B

Explanation:
Step by Step Explanation:
* FINRA Rule 3150: Permits firms to hold customer mail only with written instructions specifying the duration, which cannot exceed three months unless there are exceptional circumstances.
* Incorrect Options:
* A: Holding mail is not prohibited if done in compliance with FINRA rules.
* C & D: Oral instructions or RR discretion are not sufficient; written authorization is mandatory.
References:
* FINRA Rule 3150 (Holding of Customer Mail): FINRA Rule 3150.

NEW QUESTION # 123
Which of the following responses best characterizes a money market mutual fund?

A. It pays a fixed rate of return.
B. Its yield always exceeds a savings account rate.
C. Its underlying investments are short term.
D. Its price is fixed at $1 per share.

Answer: C

Explanation:
Money market mutual funds invest in highly liquid, short-term debt instruments, such as Treasury bills, commercial paper, and certificates of deposit. While the funds aim to maintain a stable $1 NAV, this is not guaranteed.
* C is correctbecause the fund's investments are short term.
* Ais incorrect because the rate of return is not fixed; it varies with market interest rates.
* Bis incorrect because while the fund tries to maintain a $1 NAV, it is not guaranteed.
* Dis incorrect because yields do not always exceed those of savings accounts.

NEW QUESTION # 124
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 issuer must notify FINRA of the proposed sale by submitting a Form 144.
B. The affiliate must have a holding period of six months.
C. The shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.
D. The company must be traded on a listed stock exchange.

Answer: B

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 # 125
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Luke Reed Luke Reed

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