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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
  • 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 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.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q150-Q155):

NEW QUESTION # 150
Corporate bonds unsecured by any pledge of property are called:

Answer: A

Explanation:
Step by Step Explanation:
* Debentures: Corporate bonds not backed by physical assets or collateral. They rely on the issuer's creditworthiness.
* Incorrect Options:
* B: Trust certificates are a legacy term for bonds backed by a trust.
* C: Collateral trust bonds are secured by financial assets.
* D: GO bonds are issued by municipalities, not corporations.
References:
* SEC Guide on Corporate Bonds: SEC Corporate Bonds.


NEW QUESTION # 151
Under which of the following circumstances, if any, is it permissible for an individual without a Power of Attorney (POA) to sign a customer's name on their behalf?

Answer: D

Explanation:
Step by Step Explanation:
* Prohibition on Signing Customer Names: It is never permissible to sign a customer's name without written authorization (POA) due to legal and ethical concerns. Unauthorized signing constitutes forgery and violates FINRA rules.
* Incorrect Options:
* A: Firm principal approval does not override this prohibition.
* B: Verbal authorization is insufficient.
* C: Discretionary authority does not allow unauthorized signing.
References:
* FINRA Rule 4512 (Customer Account Information): FINRA Rule 4512.


NEW QUESTION # 152
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?

Answer: D

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 # 153
The provision that allows a bond issuer to purchase bonds from customers prior to the maturity date on the bond is known as a:

Answer: C

Explanation:
Step by Step Explanation:
* Call Provision: This allows the issuer to redeem bonds before their maturity date, usually at a premium to the par value, which benefits the issuer in a declining interest rate environment.
* Put Provision: Allows bondholders, not issuers, to sell the bond back to the issuer.
* Conversion: Relates to convertible bonds that can be converted into equity.
* Defeasement: Refers to the removal of a bond issuer's obligation by setting aside cash or securities to cover the debt.
SEC Guide on Callable Bonds: SEC Callable Bonds.


NEW QUESTION # 154
A bankers ' acceptance is a credit investment that is:

Answer: A

Explanation:
The correct answer is D, used in importing/exporting. A banker's acceptance (BA) is a short-term credit instrument that is commonly used in international trade transactions to facilitate imports and exports.
Step-by-step, a banker's acceptance is essentially a time draft (a promise to pay) that has been guaranteed by a bank. This guarantee makes the instrument highly secure and marketable. In a typical transaction, an importer' s bank guarantees payment to an exporter at a future date, ensuring that the exporter will receive funds even if the importer defaults.
Choice A is incorrect because banker's acceptances are short-term instruments, typically maturing in less than
270 days. Choice B is incorrect because they are issued and guaranteed by banks, not broker-dealers. Choice C is incorrect because the defining feature of a BA is that it is guaranteed by a bank, which enhances its credit quality.
Because of this structure, banker's acceptances are widely used to reduce risk in international trade, providing assurance to both buyers and sellers across different countries.
Thus, banker's acceptances are primarily used in import/export transactions, making Answer D correct


NEW QUESTION # 155
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