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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	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 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.
Topic 4	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.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q59-Q64):

NEW QUESTION # 59
Publicly traded limited partnership interests are typically considered:

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

Answer: A

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 # 60
In performing fundamental analysis of an equity, which of the following elements should an investor consider?

A. Resistance and support levels
B. Moving average
C. Financial statements
D. Chart patterns

Answer: C

Explanation:
Fundamental analysis focuses on evaluating a company's financial health and potential for growth by analyzing its financial statements, such as the income statement, balance sheet, and cash flow statement.
* C is correctbecause financial statements provide the data necessary for fundamental analysis.
* AandBare incorrect because chart patterns and moving averages are tools of technical analysis, not fundamental analysis.
* Dis incorrect because resistance and support levels are also part of technical analysis.

NEW QUESTION # 61
An investor is bullish on a particular stock for the long run, but he would prefer a better price than the stock's current quote. Which of the following trades should the investor enter for this stock?

A. Market order to sell
B. Limit order to sell
C. Limit order to buy
D. Market order to buy

Answer: C

Explanation:
A limit order to buy allows the investor to specify the maximum price he is willing to pay for the stock. The order will only execute if the stock price falls to or below the specified price.
* B is correctbecause a limit order to buy aligns with the investor's desire to secure a better price.
* Ais incorrect because a limit order to sell is used when an investor wants to sell at a minimum price.
* CandDare incorrect because market orders execute at the current market price, not at a preferred price.

NEW QUESTION # 62
The primary market is regulated by the SEC under which of the following acts?

A. The Securities Act of 1933
B. The Securities Exchange Act of 1934
C. The Investment Advisers Act of 1940
D. The Investment Company Act of 1940

Answer: A

Explanation:
The primary market deals with the issuance of new securities, which is regulated under the Securities Act of
1933. This act requires issuers to provide full disclosure of material information to investors to ensure transparency and fairness in new offerings.
* A is correctbecause the Securities Act of 1933 governs initial offerings.
* Bis incorrect because the Securities Exchange Act of 1934 regulates secondary market trading.
* Cis incorrect because the Investment Advisers Act of 1940 pertains to investment advisers.
* Dis incorrect because the Investment Company Act of 1940 governs mutual funds and other investment companies.

NEW QUESTION # 63
A customer has a stock position that has increased in value since the time he purchased it. Which of the following terms describes his current situation?

A. Interest income
B. Unrealized gain
C. Out of the money
D. Operating profit

Answer: B

Explanation:
An unrealized gain occurs when the value of an asset increases but has not yet been sold. If the customer sells the stock, the unrealized gain becomes a realized gain.
* B is correctbecause the increase in value without selling the stock is an unrealized gain.
* Ais incorrect because interest income refers to earnings from fixed-income securities.
* Cis incorrect because operating profit relates to a company's earnings, not an investor's portfolio.
* Dis incorrect because "out of the money" is a term used for options, not stocks.

NEW QUESTION # 64
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