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[General] FINRA SIE Exam Questions In 3 User-Friendly Formats

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【General】 FINRA SIE Exam Questions In 3 User-Friendly Formats

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FINRA SIE Exam Syllabus Topics:
TopicDetails
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
  • 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 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 (Q11-Q16):NEW QUESTION # 11
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 depreciate in value.
  • B. Their price will revert to par value.
  • C. Their price will remain constant.
  • D. Their price will appreciate in value.
Answer: A
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 # 12
On settlement date, a customer is unable to pay for a purchase in his cash account. His position is liquidated.
Which of the following statements is true according to Federal Reserve Regulation T?
  • A. Only closing transactions are permitted.
  • B. The customer's account is frozen for 90 days.
  • C. All related accounts are frozen for 90 days.
  • D. The customer is barred from trading for 30 days.
Answer: B
Explanation:
Federal Reserve Regulation T mandates that customers must pay for purchases in a cash account within two business days of settlement (T+4). If payment is not made, the brokerage firm must liquidate the securities and place the account on a 90-day restriction.
* C is correctbecause the customer's account is frozen for 90 days, during which all trades must be paid for in advance.
* Ais incorrect as closing transactions are still permitted but require prepayment.
* Bis incorrect because the restriction lasts for 90 days, not 30.
* Dis incorrect as only the delinquent account, not related accounts, is frozen.

NEW QUESTION # 13
Which of the following risks are associated with Treasury securities?
  • A. Liquidity risk
  • B. Prepayment risk
  • C. Credit 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 # 14
An investor holds 1,000 shares of a stock with a total cost basis of $5,000 in his account when a 1-for-5 reverse stock split is announced. What will be the investor's total cost basis after the payable date of the reverse split?
  • A. $2,500
  • B. $5,000
  • C. $1,000
  • D. $25,000
Answer: B
Explanation:
Step by Step Explanation:
* Cost Basis in Reverse Split: The total cost basis remains unchanged in a reverse stock split. Only the number of shares and price per share adjust.
* Pre-Split: 1,000 shares at $5 each = $5,000.
* Post-Split: 200 shares at $25 each = $5,000.
* Incorrect Options:
* A, B, and D: Do not reflect the unchanged total cost basis.
References:
* IRS Guidance on Stock Splits: IRS Stock Split Info.

NEW QUESTION # 15
Which of the following responses describes a FINRA member?
  • A. A registered representative with a national securities exchange
  • B. A natural person who is employed by a broker-dealer (BD)
  • C. A BD regulated by a national securities association
  • D. An associated person of a registered brokerage firm
Answer: C
Explanation:
A FINRA member is a broker-dealer that is registered with FINRA and regulated by a national securities association. Individuals employed by the member firm (e.g., registered representatives) are associated persons, not members themselves.
* D is correct because FINRA membership applies to broker-dealers, not individuals.
* A, B, and C are incorrect because they refer to individuals or roles within member firms, not the firms themselves.
Reference: FINRA Rule 0140 (Membership)

NEW QUESTION # 16
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