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2025 FINRA SIE: Authoritative Reliable Securities Industry Essentials Exam (SIE) Exam Papers

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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

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.

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.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q62-Q67):

NEW QUESTION # 62
If a company with a single outstanding bond issue chooses to extinguish this debt through refunding, which of the following actions will occur?

A. The company will buy back the bonds, at a discount, from the bondholders.
B. The company will retire one debt with the proceeds from another issue.
C. The company will issue stock to replace the bonds.
D. The company will establish a sinking fund for use in making regular open-market purchases of the bonds.

Answer: B

Explanation:
Refunding involves replacing existing debt with new debt, usually to take advantage of lower interest rates.
* B is correctbecause the company issues new bonds to pay off the existing debt.
* Ais incorrect as refunding involves issuing debt, not equity.
* Cis incorrect because the company is not obligated to buy back bonds at a discount.
* Dis incorrect because a sinking fund is used for gradual repayment, not refunding.

NEW QUESTION # 63
After a customer purchases bonds at a yield of 5.00%, the current yield at market price increases to 5.25%.
Which of the following statements is true regarding the value of the bonds?

A. The face value of the bonds has decreased.
B. There is no change in the value of the bonds.
C. The value of the bonds has decreased.
D. The value of the bonds has increased.

Answer: C

Explanation:
When bond yields rise, the price of existing bonds falls. This inverse relationship exists because the fixed coupon payments of the bonds become less attractive compared to new bonds issued at higher yields.
* B is correctbecause the bond's market value decreases as its yield increases.
* Ais incorrect because bond values decrease, not increase, with rising yields.
* Cis incorrect because the face value (par value) remains unchanged.
* Dis incorrect because changes in yield directly affect the bond's market price.

NEW QUESTION # 64
For up to how many business days is a firm initially permitted to place a temporary hold on disbursements for a specified adult account in which the firm reasonably believes financial exploitation has occurred?

A. 3 business days
B. 5 business days
C. 15 business days
D. 10 business days

Answer: D

Explanation:
Step by Step Explanation:
* Temporary Hold Period: Under FINRA Rule 2165, a firm can initially place a hold on disbursements for up to 10 business days if financial exploitation is suspected.
* Additional Holds: The period may be extended by an additional 10 business days if warranted and allowed by state law.
* Incorrect Options:
* A & B: These are shorter than the permissible period.
* D: The initial hold period is capped at 10 business days.
References:
* FINRA Rule 2165 (Financial Exploitation of Specified Adults): FINRA Rule 2165.

NEW QUESTION # 65
Which of the following characteristics best describes a benefit of a variable annuity subaccount?

A. 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.
B. The account is managed by a third-party custodian and is, therefore, subject to lower management fees than those charged by the insurance company.
C. 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.
D. 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.

Answer: C

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 # 66
Offering 403(b) tax-sheltered annuity accounts to which of the following groups is permissible?

A. Active duty military personnel
B. Volunteer workers
C. Employees of a nonprofit hospital
D. Small business owners

Answer: C

Explanation:
Step by Step Explanation:
* 403(b) Accounts: These tax-advantaged retirement plans are specifically for employees of public schools, tax-exempt organizations, and certain other nonprofit employers, such as hospitals.
* Incorrect Options:
* Volunteer Workers: Ineligible unless they are also employees.
* Small Business Owners and Military Personnel: These groups typically qualify for other retirement plans, not 403(b).
References:
* IRS Publication 571 (403(b) Plans): IRS 403(b) Guidance.

NEW QUESTION # 67
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