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FINRA SIE Vce Download | SIE Reliable Real Exam

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2025 FINRA SIE: Unparalleled Securities Industry Essentials Exam (SIE) Vce Download

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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

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

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

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.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q165-Q170):

NEW QUESTION # 165
Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities, which of the following conditions must be met?

A. The affiliate must have a holding period of six months.
B. The company must be traded on a listed stock exchange.
C. The shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.
D. The issuer must notify FINRA of the proposed sale by submitting a Form 144.

Answer: A

Explanation:
Step by Step Explanation:
* Rule 144 Holding Period: Restricted securities held by affiliates require a six-month holding period before sale, provided the issuer is subject to SEC reporting requirements.
* Other Options:
* Notification to FINRA (C) is incorrect; Form 144 is submitted to the SEC, not FINRA.
* The 10% ADTV limitation (D) applies to the volume of shares sold, not the conditions for sale.
References:
* SEC Rule 144 (Selling Restricted Securities): SEC Rule 144.

NEW QUESTION # 166
How does an individual acquire restricted stock?

A. By exercising an option for exchange-traded calls
B. By participating in an SEC Regulation D offering
C. By exercising publicly traded warrants
D. By participating in an initial public offering (IPO)

Answer: B

Explanation:
Restricted stock refers to securities acquired through private placements, such as those offered under Regulation D. These securities are not registered with the SEC and are subject to holding period restrictions before resale.
* A is correctbecause Regulation D offerings involve private placements, resulting in restricted stock.
* Bis incorrect because IPOs involve publicly traded shares, not restricted stock.
* CandDare incorrect because restricted stock is not obtained through warrants or exchange-traded options.

NEW QUESTION # 167
Which of the following responses best characterizes a money market mutual fund?

A. Its yield always exceeds a savings account rate.
B. Its price is fixed at $1 per share.
C. It pays a fixed rate of return.
D. Its underlying investments are short term.

Answer: D

Explanation:
Money market mutual funds invest in highly liquid, short-term debt instruments, such as Treasury bills, commercial paper, and certificates of deposit. While the funds aim to maintain a stable $1 NAV, this is not guaranteed.
* C is correctbecause the fund's investments are short term.
* Ais incorrect because the rate of return is not fixed; it varies with market interest rates.
* Bis incorrect because while the fund tries to maintain a $1 NAV, it is not guaranteed.
* Dis incorrect because yields do not always exceed those of savings accounts.

NEW QUESTION # 168
Which of the following responses describes a collateralized mortgage obligation (CMO) tranche?

A. The estimated average life of the CMO expressed in years and months
B. A slice of the investment representing a coupon rate, maturity date, and credit rating
C. The method of underwriting used by the issuer to securitize the loans in the portfolio
D. The yield a customer should expect if the CMO is held to maturity

Answer: B

Explanation:
CMOs are divided into tranches, which are portions of the pool of mortgage-backed securities. Each tranche has its own characteristics, including coupon rate, maturity date, and credit rating, tailored to meet the needs of different investors.
* C is correctbecause tranches represent slices of the investment with specific terms.
* Ais incorrect because the yield depends on prepayment rates and interest rate changes.
* Bis incorrect as average life is an estimate, not a defining characteristic of a tranche.
* Dis incorrect because underwriting is unrelated to the definition of a tranche.

NEW QUESTION # 169
Which of the following responses best describes the primary strategy that an investor uses when selling a covered call?

A. Profit guarantee
B. Income generation
C. Speculation
D. Hedging

Answer: B

Explanation:
A covered call involves selling a call option on a stock the investor already owns. The strategy generates income in the form of the premium collected for selling the call, providing additional returns on the stock position.
* D is correctbecause the primary goal of a covered call is to generate income.
* Ais incorrect because covered calls do not hedge against large declines in the stock price.
* Bis incorrect because speculation involves taking higher risks, not a covered call's conservative strategy.
* Cis incorrect because no strategy guarantees a profit.

NEW QUESTION # 170
......

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