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[General] SIE考題，SIE證照指南

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【General】 SIE考題，SIE證照指南

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FINRA SIE 考試大綱：
主題簡介
主題 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.
主題 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.
主題 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.
主題 4
  • 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.
主題 5
  • 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.

最新的 General Securities Representative SIE 免費考試真題 (Q80-Q85):問題 #80
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. The firm is prohibited from holding the customer's mail under FINRA rules due to the personal information contained.
  • B. The firm must receive written instructions from the customer that include the time period for the requested mail hold.
  • C. 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.
  • D. The firm is permitted to hold the mail as long as the registered representative (RR) complies with the customer's oral instructions.
答案：B
解題說明：
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.

問題 #81
An investor is bullish on a particular stock for the long run, but he would prefer a better price than the stock's current quote. Which of the following trades should the investor enter for this stock?
  • A. Limit order to buy
  • B. Market order to sell
  • C. Market order to buy
  • D. Limit order to sell
答案：A
解題說明：
A limit order to buy allows the investor to specify the maximum price he is willing to pay for the stock. The order will only execute if the stock price falls to or below the specified price.
* B is correctbecause a limit order to buy aligns with the investor's desire to secure a better price.
* Ais incorrect because a limit order to sell is used when an investor wants to sell at a minimum price.
* CandDare incorrect because market orders execute at the current market price, not at a preferred price.

問題 #82
Which of the following responses best describes a short sale?
  • A. A sale of securities that the investor had purchased in his cash account but had not yet paid for
  • B. A sale of securities that the investor does not own
  • C. A sale of securities that results in an unsecured debit balance in the investor's account
  • D. A sale of securities that results in a loss
答案：B
解題說明：
Step by Step Explanation:
* Short Sale Definition: Involves selling borrowed securities with the expectation of repurchasing them at a lower price.
* Investor Ownership: Short sales do not involve securities already owned by the seller.
* Other Options: None of the other choices accurately define a short sale.
:
SEC Regulation SHO (Short Selling): SEC Short Sales.

問題 #83
A currency devaluation impacts a country's economic activity in which of the following ways?
  • A. Makes exports cost less in merchandise trade countries
  • B. Increases imports from merchandise trade countries
  • C. Decreases gross domestic product (GDP)
  • D. Decreases inflation
答案：A
解題說明：
Currency devaluation reduces the value of a country's currency relative to others, making its exports cheaper and more competitive internationally. This stimulates demand for the country's goods and services.
* D is correct because devaluation reduces export costs, encouraging foreign buyers.
* A is incorrect because devaluation can increase inflation by raising the cost of imported goods.
* B is incorrect because GDP often rises due to increased export demand.
* C is incorrect because imports become more expensive after devaluation, reducing demand.
Reference: SIE Study Guide, Chapter 2: International Trade and Currency

問題 #84
Which of the following responses describes treasury stock?
  • A. Restricted stock owned by officers
  • B. Stock subsequently reacquired by the issuer
  • C. U.S. government securities held by a corporation
  • D. Authorized but unissued stock
答案：B
解題說明：
Treasury stock refers to shares that were issued by a company and subsequently repurchased by the company.
These shares are held in the company's treasury and are not considered outstanding.
* C is correctbecause treasury stock is stock reacquired by the issuer.
* Ais incorrect because authorized but unissued stock has never been issued.
* Bis incorrect because restricted stock refers to shares issued with restrictions on transferability, not reacquired stock.
* Dis incorrect because it incorrectly refers to government securities, not corporate stock.

問題 #85
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