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100% Pass Quiz 2025 Updated FINRA New Exam SIE Braindumps

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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

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

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 (Q32-Q37):

NEW QUESTION # 32
Which of the following activities engaged in by a registered person is considered a private securities transaction?

A. Soliciting donations to a charity
B. Helping a friend raise money for a startup company they founded
C. Investing personal money in shares of a listed security in a brokerage account
D. Working for an insurance company selling term life insurance policies

Answer: B

Explanation:
A private securities transaction involves the sale of securities outside the scope of a registered representative's employment with their member firm. Such transactions must be disclosed to and approved by the firm under FINRA Rule 3280.
* B is correctbecause raising money for a startup involves the sale of securities and must be reported as a private securities transaction.
* Ais incorrect because soliciting charitable donations does not involve securities.
* Cis incorrect because selling term life insurance policies is not a securities transaction.
* Dis incorrect because investing personal money does not involve soliciting or selling securities to others.

NEW QUESTION # 33
An investor who lives on a fixed income and is concerned about inflation is most exposed to which of the following risks?

A. Interest rate risk
B. Purchasing power risk
C. Market risk
D. Economic risk

Answer: B

Explanation:
Purchasing power risk, also known as inflation risk, occurs when inflation reduces the real value of a fixed- income stream. Fixed payments (e.g., bond interest or annuity payments) lose buying power as inflation rises.
* D is correctbecause inflation directly affects fixed income by eroding purchasing power.
* Ais incorrect because market risk relates to fluctuations in market prices, not inflation.
* Bis incorrect because economic risk generally refers to broader economic downturns.
* Cis incorrect because interest rate risk involves changes in bond prices due to interest rate movements, not inflation.

NEW QUESTION # 34
A registered representative (RR) intends to enter into an arrangement for compensation with an unaffiliated entity to participate in the sale of promissory notes to the general public. Which of the following statements is true?

A. The RR must receive written approval from his firm prior to entering into this arrangement.
B. The RR is required to notify his firm regarding this arrangement if compensation received is directly related to transactions.
C. The RR is not required to provide prior notice to his firm as promissory notes are not considered securities.
D. This is a permissible arrangement, and the RR is only required to notify his firm.

Answer: A

Explanation:
Step by Step Explanation:
* Private Securities Transactions: Under FINRA Rule 3280, RRs must obtain written approval from their employing firm before participating in the sale of securities outside the firm.
* Promissory Notes: These are typically considered securities, requiring prior approval.
* Incorrect Options:
* A & C: Notification alone is insufficient; written approval is required.
* D: Promissory notes are generally treated as securities under federal law.
References:
* FINRA Rule 3280 (Private Securities Transactions): FINRA Rule 3280.

NEW QUESTION # 35
Which of the following statements is true regarding 529 savings plans?

A. There are income limitations for contributing to a 529 savings plan.
B. The account beneficiary has control over the assets in a 529 savings plan.
C. Assets are transferable to another 529 savings plan tax-free if the new beneficiary is a family member of the current beneficiary.
D. 529 contributions are tax deductible in all states.

Answer: C

Explanation:
529 savings plans are state-sponsored education savings accounts that offer tax-advantaged growth. Key features include:
* Contributions are not federally tax deductible (some states offer state-level deductions).
* No income limitations for contributions.
* The account owner, not the beneficiary, controls the plan.
* Assets can be transferred tax-free to another family member's 529 plan.
* D is correctbecause tax-free rollovers are allowed for family members of the current beneficiary.
* Ais incorrect as contributions are not universally tax deductible.
* Bis incorrect as there are no income limitations for contributing.
* Cis incorrect because the account owner, not the beneficiary, controls the assets.

NEW QUESTION # 36
An investor sells shares of a closed-end fund at the market. Which of the following responses best describes the net proceeds to be received?

A. NAV less any redemption fee
B. Public offering price (POP) less any redemption fee
C. Net asset value (NAV)
D. Bid price less any commission

Answer: D

Explanation:
Step by Step Explanation:
* Closed-End Funds: Trade on exchanges like stocks, and the investor receives the bid price (market price) minus any applicable commissions.
* Incorrect Options:
* A & B: NAV applies to open-end mutual funds, not closed-end funds.
* D: POP applies to initial sales of mutual fund shares.
References:
* SEC Guidance on Closed-End Funds: SEC Closed-End Funds.

NEW QUESTION # 37
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