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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 1	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 2	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 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	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.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q86-Q91):

NEW QUESTION # 86
An investor wants to purchase additional mutual fund shares with income distributed by the fund. Which of the following fund options permits this?

A. Capital gains reinvestment
B. Dollar cost averaging
C. Dividend reinvestment
D. Asset reallocation

Answer: C

Explanation:
Step by Step Explanation:
* Dividend Reinvestment Plans (DRIPs): These allow investors to automatically reinvest income distributed by the mutual fund to purchase additional shares.
* Dollar Cost Averaging: Refers to systematic investments over time, not directly tied to income distributions.
* Capital Gains Reinvestment: Involves reinvesting profits from the sale of fund holdings, which is distinct from dividend reinvestment.
References:
* FINRA Mutual Fund Features: FINRA Mutual Funds.

NEW QUESTION # 87
Which of the following responses describes a warrant?

A. The right to purchase a specified amount of shares
B. An interest-paying security
C. A fixed-income security issued by a state or municipality
D. Redemption rights for a debt instrument

Answer: A

Explanation:
Step by Step Explanation:
* Warrants: These are long-term options issued by a company that give the holder the right to buy shares at a specific price before expiration. They are typically attached to bond or stock offerings to make them more attractive.
* Incorrect Options:
* A: Warrants do not pay interest.
* B: Refers to callable bonds, not warrants.
* D: Describes municipal bonds, not warrants.
References:
* SEC Guide to Warrants and Options: SEC Warrants Information.

NEW QUESTION # 88
Executing trades using the delivery versus payment (DVP) settlement process requires the buyer to make a cash payment by which of the following deadlines?

A. No later than 3 days after the securities are delivered
B. By the agreed-upon settlement date with the issuer
C. Before or at the same time as securities being delivered
D. On the 5th business day after execution

Answer: C

Explanation:
Step by Step Explanation:
* DVP Process: Ensures that payment occurs simultaneously with the delivery of securities, mitigating counterparty risk. Cash payment is made before or at the time of delivery.
* Incorrect Options:
* A: The T+5 timeline is not standard for DVP.
* C: Payment must occur at delivery, not after.
* D: Settlement date agreements with the issuer are irrelevant for DVP.
References:
* FINRA Guidelines on DVP/RVP Transactions: FINRA DVP Info.

NEW QUESTION # 89
Which of the following activities is a responsibility of a mutual fund transfer agent?

A. Maintaining records of shareholder purchases and redemptions
B. Underwriting new shares of securities
C. Maintaining custody of the fund's securities
D. Distributing the fund's prospectus to investors

Answer: A

Explanation:
A transfer agent is responsible for maintaining accurate records of shareholder purchases, redemptions, and account balances. They also handle the issuance and cancellation of shares and ensure shareholders receive appropriate distributions.
* D is correctbecause maintaining shareholder records is a core duty of a transfer agent.
* Ais incorrect because underwriting is the responsibility of a broker-dealer.
* Bis incorrect because distributing the prospectus is handled by the fund's distributor.
* Cis incorrect because custody of securities is the role of a custodian, not the transfer agent.

NEW QUESTION # 90
SIPC provides investor protection for its members' customers in which of the following situations?

A. Losses incurred on futures contracts due to fraud or negligence
B. Losses greater than 10% due to systemic market decline
C. Failure of a brokerage firm in the event of insolvency
D. Failure of a brokerage firm to meet customers' investment expectations

Answer: C

Explanation:
The Securities Investor Protection Corporation (SIPC) protects customers if a broker-dealer fails due to insolvency. Coverage applies to cash and securities in customer accounts, up to $500,000total, including
$250,000 for cash.
* A is correctbecause SIPC's purpose is to protect against losses arising from a broker-dealer's insolvency.
* Bis incorrect because SIPC does not guarantee investment performance.
* Cis incorrect because SIPC does not cover market losses.
* Dis incorrect because futures contracts are not covered under SIPC.

NEW QUESTION # 91
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SIE Pass4sure Study Materials | Top SIE Dumps

FINRA SIE Exam Syllabus Topics:

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q86-Q91):

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