SIE Test Free | SIE Certificate Exam

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SIE Certificate Exam - Valid SIE Test Objectives

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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	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	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 4	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 5	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.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q94-Q99):

NEW QUESTION # 94
Trades that settle within the period preset by regulators of the particular market are considered to have which of the following types of settlement?

A. Cash
B. Rolling
C. Regular way
D. Next day

Answer: C

Explanation:
"Regular way" settlement refers to the standard settlement cycle for securities transactions, which is T+2 for most stocks and bonds. This timeline is set by regulators to ensure orderly processing of trades.
* D is correctbecause regular way settlement follows the preset T+2 cycle.
* Ais incorrect because cash settlement occurs the same day as the trade.
* Bis not a recognized term for settlement types.
* Cis incorrect because next-day settlement applies only to specific securities (e.g., Treasury securities).

NEW QUESTION # 95
An investor generally purchases an open-end mutual fund from which of the following parties?

A. The NYSE
B. The fund's underwriter
C. An existing shareholder
D. The fund's custodian

Answer: B

Explanation:
Step by Step Explanation:
* Open-End Mutual Funds: Shares are purchased directly from the fund or its underwriter at the current Net Asset Value (NAV), plus any applicable sales charges.
* Custodian: Holds the fund's assets but does not sell shares.
* NYSE and Shareholders: Open-end funds do not trade on exchanges or between individual shareholders.
References:
* SEC Mutual Fund Basics: SEC Mutual Funds.

NEW QUESTION # 96
Which of the following entities issues certificates of deposit (CDs)?

A. Federal Reserve
B. Broker-dealers
C. Banks
D. FDIC

Answer: C

Explanation:
Certificates of Deposit (CDs) are time deposit accounts issued by banks, offering fixed interest rates for a specified term. CDs are insured by the FDIC up to $250,000 per depositor, but the issuing entity is the bank itself.
* B is correctbecause banks issue CDs.
* Ais incorrect because the FDIC insures CDs but does not issue them.
* Cis incorrect because broker-dealers may facilitate the purchase of CDs but do not issue them.
* Dis incorrect because the Federal Reserve does not issue CDs; it manages monetary policy.

NEW QUESTION # 97
Under the Investment Company Act of 1940, which of the following products are considered redeemable securities?

A. Shares issued by a closed-end investment company
B. Shares of unit investment trusts (UITs) purchased through a public offering
C. Master limited partnerships
D. Short-term paper

Answer: B

Explanation:
Redeemable securities are those that can be sold back to the issuer.
* D is correctbecause unit investment trusts (UITs) issue redeemable securities.
* Cis incorrect because closed-end fund shares are traded on secondary markets, not redeemable.
* AandBdo not meet the definition of redeemable securities.

NEW QUESTION # 98
A real estate investment trust (REIT) is required to invest what percentage of total assets in real-estate-related assets to maintain favorable tax treatment?

A. 100% of assets
B. At least 90% of total assets
C. At least 75% of total assets
D. At least 50% of total assets

Answer: C

Explanation:
Step by Step Explanation:
* REIT Requirements: REITs must invest at least 75% of their total assets in real estate to qualify for favorable tax treatment under IRS regulations.
* 90% Rule: Refers to the distribution requirement for taxable income, not asset allocation.
* 100% Rule: There is no requirement to allocate 100% of assets to real estate.
References:
* IRS Publication 542 (Real Estate Investment Trusts): IRS REIT Guidelines.

NEW QUESTION # 99
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SIE Test Free | SIE Certificate Exam

SIE Certificate Exam - Valid SIE Test Objectives

FINRA SIE Exam Syllabus Topics:

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q94-Q99):