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Real SIE Exams - 2025 First-grade FINRA SIE Valid Test Dumps

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SIE Valid Test Dumps & SIE Cert

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FINRA SIE Exam Syllabus Topics:

Topic
Details

Topic 1

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 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

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 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.

Topic 5

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.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q161-Q166):

NEW QUESTION # 161
Which of the following disclosures is a municipal securities dealer required to provide its customers once every calendar year?

A. FINRA violations of all registered representatives
B. The location and availability of the MSRB investor brochure
C. The firm's financial standing
D. The firm's address

Answer: B

Explanation:
Step by Step Explanation:
* MSRB Rule G-10: Requires municipal securities dealers to notify customers annually about the availability of the MSRB investor brochure, which explains investor protections and complaint filing procedures.
* Incorrect Options:
* A and B: Address and financial standing are not specifically required disclosures.
* C: FINRA violations are not a required disclosure under MSRB rules.
References:
* MSRB Rule G-10 (Investor Brochure Requirement): MSRB Rule G-10.

NEW QUESTION # 162
An investor sells shares of a closed-end fund at the market. Which of the following responses best describes the net proceeds to be received?

A. Net asset value (NAV)
B. NAV less any redemption fee
C. Public offering price (POP) less any redemption fee
D. Bid price less any commission

Answer: D

Explanation:
Step by Step Explanation:
* Closed-End Funds: Trade on exchanges like stocks, and the investor receives the bid price (market price) minus any applicable commissions.
* Incorrect Options:
* A & B: NAV applies to open-end mutual funds, not closed-end funds.
* D: POP applies to initial sales of mutual fund shares.
References:
* SEC Guidance on Closed-End Funds: SEC Closed-End Funds.

NEW QUESTION # 163
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. $9.75
B. $10.00
C. $9.25
D. $10.25

Answer: A

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 # 164
Pursuant to the Securities Act of 1933, registration is required for which of the following securities?

A. Municipal securities
B. Private placements
C. Open-end investment companies
D. U.S. government issues

Answer: C

Explanation:
The Securities Act of 1933 requires securities offered to the public to be registered with the SEC unless they qualify for an exemption. Open-end investment companies (mutual funds) are not exempt and must register.
* D is correctbecause mutual funds are publicly offered and require registration.
* Ais incorrect because private placements are exempt under Regulation D.
* Bis incorrect because municipal securities are exempt under Section 3(a)(2).
* Cis incorrect because U.S. government securities are also exempt under Section 3(a)(2).

NEW QUESTION # 165
Which of the following statements is true with regard to SIPC and FDIC?

A. SIPC protects brokerage accounts, and FDIC protects bank deposits.
B. SIPC coverage is only for securities, and FDIC coverage is only for cash.
C. Money market mutual funds are covered by the FDIC and are not covered by SIPC.
D. Securities held at broker-dealers are covered by the FDIC and are not covered by SIPC.

Answer: A

Explanation:
Step by Step Explanation:
* SIPC Coverage: Protects customers of brokerage firms against the loss of securities and cash due to broker-dealer insolvency, but it does not protect against market losses.
* FDIC Coverage: Protects bank deposits (checking, savings, CDs) up to $250,000 per depositor, per institution.
* Incorrect Options:
* A: SIPC covers both securities and cash held at brokerage firms (within limits).
* C & D: Money market mutual funds are not FDIC insured, and securities are not covered by the FDIC.
References:
* SIPC Overview: SIPC Coverage.
* FDIC Insurance: FDIC Coverage.

NEW QUESTION # 166
......

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