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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.
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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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q58-Q63):

NEW QUESTION # 58
Which of the following risks are associated with Treasury securities?

A. Credit risk
B. Prepayment risk
C. Liquidity risk
D. Interest rate risk

Answer: D

Explanation:
Step by Step Explanation:
* Interest Rate Risk: Treasury securities are sensitive to changes in interest rates. When rates rise, Treasury prices fall, exposing investors to price risk.
* Incorrect Options:
* Credit Risk: Virtually nonexistent for Treasuries, as they are backed by the U.S. government.
* Liquidity Risk: Treasuries are highly liquid.
* Prepayment Risk: Applies to mortgage-backed securities, not Treasuries.
References:
* SEC Bond Risk Disclosures: SEC Treasury Risks.

NEW QUESTION # 59
Offering 403(b) tax-sheltered annuity accounts to which of the following groups is permissible?

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

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 # 60
When are registered persons required to fulfill their Continuing Education (CE) Regulatory Element requirement?

A. Annually
B. Upon the receipt of a customer complaint
C. After the initial three-year requirement and then every two years
D. Semiannually

Answer: C

Explanation:
FINRA's Continuing Education (CE) requirements include the Regulatory Element, which must be completed:
* Within 120 days of the second anniversary of a registered representative's initialregistration.
* Every three years thereafter (changed to every two years as of 2023).
* C is correctbecause registered persons must complete the CE Regulatory Element after their initial requirement and then every two years.
* AandBare incorrect because CE is not required annually or semiannually.
* Dis incorrect because CE is not tied to customer complaints.

NEW QUESTION # 61
Company ABC stock currently trades on an exchange. An ABC insider wants to sell a large number of shares of her privately held ABC stock. ABC files the necessary paperwork to register the shares, but the insider decides to wait and sell the stock at a later date. Which of the following terms best describes the type of offering that is occurring in this situation?

A. A private offering
B. A rights offering
C. A secondary offering
D. An exempt offering

Answer: C

Explanation:
Step by Step Explanation:
* Secondary Offering: Involves the sale of shares by an existing shareholder, such as an insider, rather than the company itself issuing new shares.
* Incorrect Options:
* A: Rights offerings involve giving existing shareholders the opportunity to buy additional shares.
* B: Private offerings are not registered with the SEC and involve limited investors.
* C: An exempt offering refers to securities exempt from SEC registration, such as Regulation D offerings.
References:
* SEC Guide on Secondary Offerings: SEC Secondary Offerings.

NEW QUESTION # 62
In a rising interest rate environment, which of the following statements is true regarding the price of fixed-rate corporate bonds?

A. Their price will remain constant.
B. Their price will revert to par value.
C. Their price will appreciate in value.
D. Their price will depreciate in value.

Answer: D

Explanation:
When interest rates rise, the price of fixed-rate corporate bonds falls because the bond's coupon payments become less attractive compared to new bonds issued at higher rates.
* D is correctas bond prices move inversely to interest rates.
* Ais incorrect because bond prices fluctuate with interest rate changes.
* Bis incorrect because bond prices revert to par only at maturity.
* Cis incorrect because prices do not appreciate when rates rise.

NEW QUESTION # 63
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Frenquent SIE Update - SIE Online Training

FINRA SIE Exam Syllabus Topics:

SIE Online Training & SIE Interactive Practice Exam

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q58-Q63):