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[General] Easy to Use FINRA SIE PDF Questions File

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【General】 Easy to Use FINRA SIE PDF Questions File

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FINRA SIE Exam Syllabus Topics:
TopicDetails
Topic 1
  • 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 2
  • 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 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.
Topic 4
  • 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 5
  • 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.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q64-Q69):NEW QUESTION # 64
Which of the following is the primary risk of using asset allocation models without periodic rebalancing?
  • A. Interest rate risk
  • B. Marketability
  • C. Inflation
  • D. Overweighting
Answer: D
Explanation:
Step by Step Explanation:
* Rebalancing: Ensures that a portfolio remains aligned with its target allocation. Without rebalancing, outperforming assets can become overweighted, increasing exposure to specific risks.
* Incorrect Options:
* Inflation: Impacts purchasing power but isn't tied to rebalancing.
* Marketability: Refers to liquidity and isn't linked to allocation models.
* Interest Rate Risk: Relates to fixed-income investments and isn't directly addressed by allocation models.
References:
* SEC Investor Bulletin on Asset Allocation: SEC Asset Allocation.

NEW QUESTION # 65
At least how often Is a firm required to provide a customer with a statement In writing as to the availability of an Investor brochure posted on the MSRB website?
(AC?)
  • A. Monthly
  • B. Annually
  • C. Once every three years
  • D. Quarterly
Answer: B

NEW QUESTION # 66
Which of the following risks are associated with Treasury securities?
  • A. Prepayment risk
  • B. Interest rate risk
  • C. Credit risk
  • D. Liquidity risk
Answer: B
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.
:
SEC Bond Risk Disclosures: SEC Treasury Risks.

NEW QUESTION # 67
A registered representative who is terminated from a broker-dealer must notify FINRA of a residential address change for what period of time after termination?
  • A. Two years
  • B. Six years
  • C. One year
  • D. Three years
Answer: A
Explanation:
Step by Step Explanation:
* FINRA Rule 1122: Requires that registered representatives update their residential address with FINRA for two years post-termination.
* Purpose: This ensures accurate records for potential regulatory inquiries during the statutory two-year period when a terminated individual remains subject to FINRA's jurisdiction.
FINRA Rule 1122 (Filing False or Misleading Information): FINRA Rule 1122.

NEW QUESTION # 68
Which of the following investments provides foreign investment exposure?
  • A. American Depositary Receipts (ADRs)
  • B. SPDR S&P 500 ETF (SPY)
  • C. Treasury bills
  • D. Municipal bonds
Answer: A
Explanation:
American Depositary Receipts (ADRs) provide U.S. investors with exposure to foreign companies, making D correct. An ADR is a negotiable receipt issued by a U.S. depository bank representing shares (or a fraction of shares) in a non-U.S. company. ADRs trade in U.S. markets and are typically priced and settle in U.S. dollars, which can make foreign investing more operationally convenient for U.S. investors while still offering exposure to the underlying foreign issuer's business and its home-market risks.
Choice A (Treasury bills) are U.S. government debt instruments and do not provide foreign exposure. Choice B (municipal bonds) are issued by U.S. states, cities, and other municipal entities, so they are domestic.
Choice C (SPY) is an ETF designed to track the S&P 500, which is a U.S. large-cap equity index; while some underlying companies may have international operations, SPY is not typically considered a direct "foreign investment exposure" vehicle in SIE terms. ADRs are the clean, direct answer because the underlying issuer is foreign.
On the SIE, ADRs are tested as an equity product type and as a method of gaining international exposure, along with related concepts such as currency considerations (even if ADRs trade in dollars, the underlying business may be exposed to currency and foreign political/economic risk), and the role of depository banks.

NEW QUESTION # 69
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