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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 1	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 2	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 3	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.

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100% Pass Quiz 2025 SIE: Securities Industry Essentials Exam (SIE) Pass-Sure Valid Test Labs

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q65-Q70):

NEW QUESTION # 65
Which of the following terms describes failure to honor a firm quote?

A. Interpositioning
B. Freeriding
C. Backing away
D. Market manipulation

Answer: C

Explanation:
Step by Step Explanation:
* Backing Away: Refers to the failure of a market maker to honor a firm quote when a customer attempts to trade at that price. It is a violation of market rules.
* Incorrect Options:
* Freeriding: Involves selling securities before paying for them in a cash account.
* Interpositioning: Involves unnecessary intermediaries in trades, which can harm customers.
* Market Manipulation: Covers a range of deceptive practices, such as wash trading or spoofing, not specific to honoring quotes.
References:
* FINRA Rule 5220 (Firm Quote Rule): FINRA Rule 5220.

NEW QUESTION # 66
Which of the following responses best describes how member firms are required to retain electronic correspondence and internal communications of associated persons?

A. In a non-rewriteable format
B. In the firm's cloud storage
C. On the firm's server
D. In hard copy

Answer: A

Explanation:
FINRA Rule 4511 requires member firms to retain records, including electronic communications, in anon- rewriteable, non-erasable format(often referred to as WORM: Write Once, Read Many). This ensures that records cannot be altered or deleted once stored.
* D is correctbecause firms must store records in a tamper-proof format.
* A,B, andCare incorrect because these formats do not guarantee compliance with the tamper-proof requirements set forth by FINRA and the SEC.

NEW QUESTION # 67
Which of the following activities is a responsibility of a mutual fund transfer agent?

A. Distributing the fund's prospectus to investors
B. Underwriting new shares of securities
C. Maintaining records of shareholder purchases and redemptions
D. Maintaining custody of the fund's securities

Answer: C

Explanation:
A transfer agent is responsible for maintaining accurate records of shareholder purchases, redemptions, and account balances. They also handle the issuance and cancellation of shares and ensure shareholders receive appropriate distributions.
* D is correctbecause maintaining shareholder records is a core duty of a transfer agent.
* Ais incorrect because underwriting is the responsibility of a broker-dealer.
* Bis incorrect because distributing the prospectus is handled by the fund's distributor.
* Cis incorrect because custody of securities is the role of a custodian, not the transfer agent.

NEW QUESTION # 68
A grandfather establishes a Uniform Transfers to Minors Act (UTMA) custodial account for his grandson and appoints an attorney as custodian. Which of the following individuals owns the account?

A. Grandson
B. Grandson's parent
C. Attorney
D. Grandfather

Answer: A

Explanation:
In a UTMA account, the minor is the legal owner of the account. The custodian (in this case, the attorney) manages the account until the minor reaches the age of majority specified by state law.
* C is correctbecause the grandson (the minor) is the account's legal owner.
* Ais incorrect because the attorney is the custodian, not the owner.
* Bis incorrect because the grandfather established the account but does not own it.
* Dis incorrect because the parent does not have ownership unless explicitly named as the custodian.

NEW QUESTION # 69
Under which of the following circumstances, if any, is a registered representative (RR) permitted to share in the profits and losses of security interests that the RR has purchased jointly with a customer?

A. Under no circumstances
B. Only when the customer is an accredited investor
C. When the profits and losses are proportionate to the amount contributed by the RR
D. Only if the RR's firm is also a participant in the sharing arrangement

Answer: C

Explanation:
Under FINRA Rule 2150, registered representatives may share in profits and losses in a customer's account if:
* The customer provides written consent.
* The arrangement is approved by the RR's firm.
* The sharing is proportional to the RR's financial contribution.
* C is correctbecause it aligns with FINRA requirements.
* A,B, andDare incorrect because they do not meet the necessary conditions for sharing.

NEW QUESTION # 70
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