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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	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 3	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.

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Pass Guaranteed 2025 FINRA Pass-Sure SIE: Latest Securities Industry Essentials Exam (SIE) Exam Question

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q81-Q86):

NEW QUESTION # 81
A registered representative (RR) owns 500 shares of a thinly traded security. A customer of the firm calls the RR to place a sell order for 10,000 shares of the same security. The RR sells his shares before entering the customer's order to sell. Which of the following activities has the RR just engaged in?

A. Selling away
B. Insider trading
C. Front running
D. Market manipulation

Answer: C

Explanation:
Step by Step Explanation:
* Front Running Definition: Occurs when a broker executes a personal trade ahead of a customer's order to profit from the anticipated market movement.
* Thinly Traded Security: Front running is particularly impactful in low-liquidity securities.
* Other Options:
* Selling Away: Involves unapproved securities transactions outside the employing firm.
* Insider Trading: Involves trading on material non-public information.
* Market Manipulation: Encompasses activities like wash trading or spoofing, not specific to this scenario.
References:
* FINRA Rule 5270 (Front Running of Block Transactions): FINRA Rule 5270.

NEW QUESTION # 82
A customer purchases $3,000 of XYZ, which settles today in a margin account. The customer has no other positions or balances. According to initial margin requirements, what is the amount of the required deposit?

A. $2,000
B. $3,000
C. $2,500
D. $1,500

Answer: A

Explanation:
Under Federal Reserve Regulation T, customers must deposit at least 50% of the purchase price for margin trades. However, theminimum deposit requirement is $2,000, regardless of the 50% rule, if the account is below this threshold.
* 50% of $3,000 = $1,500.
* Since $1,500 is less than the $2,000 minimum, the customer must deposit the full $2,000.
* B is correctbecause $2,000 is the required minimum deposit.
* Ais incorrect because the $1,500 calculation does not meet the minimum.
* CandDare incorrect because they exceed the minimum deposit requirement.

NEW QUESTION # 83
Which of the following characteristics best describes a benefit of a variable annuity subaccount?

A. The account is held at a broker-dealer that is separate from the insurance company, thereby allowing tax-deferred investments in all types of securities products.
B. The account represents the indebtedness of the insurance company that is subordinated to the claims of general creditors and, therefore, offers investors a higher rate of return.
C. The account is managed by a third-party custodian and is, therefore, subject to lower management fees than those charged by the insurance company.
D. The account is held separately from the insurance company's general account and, therefore, is protected from the claims of general creditors of the insurance company.

Answer: D

Explanation:
Variable annuity subaccounts are held in separate accounts, distinct from the insurance company's general account. This separation protects subaccount assets from claims by creditors in case the insurance company becomes insolvent.
* C is correctbecause the separate account ensures creditor protection.
* Ais incorrect as management fees for variable annuities are often higher.
* Bis incorrect because the subaccounts are not held at broker-dealers.
* Dis incorrect as subaccounts do not represent subordinated debt.

NEW QUESTION # 84
SEC regulations permit a company to issue securities exempted from registration requirements of the Securities Act of 1933 under which of the following conditions?

A. Offerings sold with an aggregate price exceeding $5 million
B. Offerings with no more than 35 non-accredited investors and an unlimited number of accredited investors
C. Offerings sold inside of the U.S. to non-U.S. persons
D. Offerings sold with no more than 40 accredited investors

Answer: B

Explanation:
Step by Step Explanation:
* Regulation D (Rule 506(b)): Allows offerings to an unlimited number of accredited investors and up to
35 non-accredited investors, provided certain disclosure requirements are met.
* Incorrect Options:
* A: Refers to Regulation S, which governs offshore offerings, not domestic exemptions.
* B: There is no 40-investor limit in Regulation D.
* C: The $5 million limit applies to Rule 504, not Rule 506(b).
References:
* SEC Regulation D: SEC Regulation D.

NEW QUESTION # 85
Trades that settle within the period preset by regulators of the particular market are considered to have which of the following types of settlement?

A. Regular way
B. Rolling
C. Next day
D. Cash

Answer: A

Explanation:
"Regular way" settlement refers to the standard settlement cycle for securities transactions, which is T+2 for most stocks and bonds. This timeline is set by regulators to ensure orderly processing of trades.
* D is correctbecause regular way settlement follows the preset T+2 cycle.
* Ais incorrect because cash settlement occurs the same day as the trade.
* Bis not a recognized term for settlement types.
* Cis incorrect because next-day settlement applies only to specific securities (e.g., Treasury securities).

NEW QUESTION # 86
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Latest SIE Exam Question - Valid Test SIE Bootcamp

FINRA SIE Exam Syllabus Topics:

Pass Guaranteed 2025 FINRA Pass-Sure SIE: Latest Securities Industry Essentials Exam (SIE) Exam Question

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q81-Q86):

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