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SIE Hot Spot Questions & SIE Study Reference

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FINRA SIE Exam Syllabus Topics:

Topic
Details

Topic 1

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 2

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 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

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.

>> SIE Hot Spot Questions <<

FINRA SIE Study Reference | SIE Free Practice Exams

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q83-Q88):

NEW QUESTION # 83
A customer writes a call for XYZ stock with a strike price of $35 and receives a premium of $7. The stock is currently trading at $40. What is the time value of this option?

A. $0
B. $7
C. $2
D. $5

Answer: C

Explanation:
An option's premium consists of intrinsic value and time value:
* Intrinsic value= Current stock price - Strike price = $40 - $35 = $5.
* Time value= Total premium - Intrinsic value = $7 - $5 =$2.
* B is correctbecause $2 represents the time value.
* A,C, andDare incorrect because they miscalculate the time value based on the option's total premium.

NEW QUESTION # 84
Publicly traded limited partnership interests are typically considered:

A. Derivative investments
B. Equity securities
C. Fixed-income securities
D. Mutual funds

Answer: B

Explanation:
Step by Step Explanation:
* Publicly Traded Limited Partnerships (PTPs): Represent ownership stakes, which categorize them as equity securities. PTPs often involve sectors like real estate or energy.
* Incorrect Options:
* A: Mutual funds are pooled investment vehicles, not partnerships.
* C: Fixed-income securities are debt instruments like bonds.
* D: Derivatives include options or futures, not ownership stakes.
References:
* SEC Guidance on Publicly Traded Partnerships: SEC PTPs.

NEW QUESTION # 85
A retail investor owns shares of Mutual Fund ABC that paid a $0.25 dividend on September 1 and closed at
$10.00. What is the opening price once this fund trades on the ex-dividend date?

A. $10.00
B. $9.25
C. $10.25
D. $9.75

Answer: D

Explanation:
Step by Step Explanation:
* Ex-Dividend Date Pricing: On the ex-dividend date, the mutual fund's price is adjusted downward by the amount of the dividend.
* Closing Price: $10.00
* Dividend: $0.25
* Adjusted Opening Price: $10.00 - $0.25 = $9.75.
* Incorrect Options:
* A: $9.25 subtracts more than the dividend amount.
* C: $10.00 does not reflect the dividend adjustment.
* D: $10.25 adds to the price rather than subtracting the dividend.
References:
* SEC Guidance on Mutual Fund Pricing: SEC Mutual Funds.

NEW QUESTION # 86
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 shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.
C. The company must be traded on a listed stock exchange.
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 # 87
Which of the following entities settles broker-to-broker equity, listed corporate and municipal bond, and unit investment trust (UIT) transactions in the U.S. equities markets?

A. SEC
B. FINRA
C. Federal Reserve
D. National Securities Clearing Corporation (NSCC)

Answer: D

Explanation:
Step by Step Explanation:
* National Securities Clearing Corporation (NSCC): A subsidiary of the Depository Trust & Clearing Corporation (DTCC), the NSCC handles the clearance and settlement of broker-to-broker equity, corporate bond, municipal bond, and UIT transactions.
* Incorrect Options:
* A: The SEC oversees regulatory compliance but does not settle trades.
* B: FINRA is a self-regulatory organization, not a clearing entity.
* C: The Federal Reserve manages monetary policy and banking but is not involved in securities settlement.
References:
* DTCC Overview of NSCC: DTCC NSCC.

NEW QUESTION # 88
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