FINRA SIE

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FINRA SIE Exam Syllabus Topics:

Reference: https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions:

Question #1
Which of the following transactions gives a U.S. citizen the most efficient means to invest in the stock of an overseas corporation that trades only on a foreign exchange?

A. Purchase an option on the stock on a domestic exchange
B. Purchase a U.S.-based mutual fund that invests in foreign stocks
C. Purchase an ETF on the foreign exchange
D. Purchase an American Depositary Receipt (ADR) on a domestic exchange

Question #2
Which of the following is considered nonpublic information?

A. Customer ' s net worth
B. Customer ' s name
C. Customer ' s address
D. Customer ' s telephone number

Question #3
The Options Clearing Corporation is a registered clearing agency for which of the following products?

A. Preferred stocks
B. Long-term Equity Anticipation Securities
C. Exchange-traded funds
D. Over-the-counter bonds

Question #4
According to FINRA rules, under which of the following circumstances, if any, is a member firm permitted to send gifts to a registered representative of another member firm?

A. Under no circumstances
B. When the value of all gifts during a period of one year does not exceed $100
C. When no single gift exceeds $100 and there is no limit on the number of gifts
D. When no single gift exceeds $100 in value and the maximum value of all gifts per year equals $250

Question #5
Which of the following statements describes a characteristic of exchange-traded funds (ETFs)?

A. ETFs are not permitted to be purchased on margin.
B. ETFs are purchased and sold daily at net asset value (NAV).
C. ETF expense ratios are generally lower than those of mutual funds.
D. ETFs are offered with front-end or back-end loads.

Solutions: