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FINRA SIE New Dumps Questions Are Leading Materials & SIE Securities Industry Essentials Exam (SIE)

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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

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 (Q157-Q162):

NEW QUESTION # 157
Offering 403(b) tax-sheltered annuity accounts to which of the following groups is permissible?

A. Employees of a nonprofit hospital
B. Volunteer workers
C. Active duty military personnel
D. Small business owners

Answer: A

Explanation:
Step by Step Explanation:
* 403(b) Accounts: These tax-advantaged retirement plans are specifically for employees of public schools, tax-exempt organizations, and certain other nonprofit employers, such as hospitals.
* Incorrect Options:
* Volunteer Workers: Ineligible unless they are also employees.
* Small Business Owners and Military Personnel: These groups typically qualify for other retirement plans, not 403(b).
References:
* IRS Publication 571 (403(b) Plans): IRS 403(b) Guidance.

NEW QUESTION # 158
Offering 403(b) tax-sheltered annuity accounts to which of the following groups is permissible?

A. Employees of a nonprofit hospital
B. Volunteer workers
C. Active duty military personnel
D. Small business owners

Answer: A

NEW QUESTION # 159
Which of the following statements describes a characteristic of Treasury securities?

A. They are liquid.
B. They are FDIC-insured.
C. They are callable.
D. They are issued by the U.S. government with a high amount of default risk.

Answer: A

Explanation:
Treasury securities are among the most liquid investments, as they are backed by the U.S. government and trade actively in large volumes.
* A is correctbecause Treasuries are highly liquid, making them easy to buy and sell.
* Bis incorrect because most Treasury securities are not callable.
* Cis incorrect because FDIC insurance applies to bank deposits, not Treasuries.
* Dis incorrect because U.S. government securities have negligible default risk.

NEW QUESTION # 160
Corporate bonds unsecured by any pledge of property are called:

A. General obligation (GO) bonds
B. Trust certificates
C. Debentures
D. Collateral trust bonds

Answer: C

Explanation:
Step by Step Explanation:
* Debentures: Corporate bonds not backed by physical assets or collateral. They rely on the issuer's creditworthiness.
* Incorrect Options:
* B: Trust certificates are a legacy term for bonds backed by a trust.
* C: Collateral trust bonds are secured by financial assets.
* D: GO bonds are issued by municipalities, not corporations.
References:
* SEC Guide on Corporate Bonds: SEC Corporate Bonds.

NEW QUESTION # 161
Assuming yields are held constant, which of the following statements describes what will occur as a discount bond reaches maturity?

A. Its price decreases.
B. Its par value decreases.
C. Its price increases.
D. Its par value increases.

Answer: C

Explanation:
Step by Step Explanation:
* Discount Bonds: These are issued or traded below par value. Over time, their price moves closer to par as they approach maturity, assuming yields remain constant.
* Other Options:
* Par Value Changes: The par value of a bond does not change over time; only its price fluctuates.
References:
* SEC and FINRA Bond Basics: SEC Discount Bonds.

NEW QUESTION # 162
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