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SIE Pass4sure Study Materials & Latest SIE Braindumps Questions

Hence, if you want to sharpen your skills, and get the Securities Industry Essentials Exam (SIE) (SIE) certification done within the target period, it is important to get the best Securities Industry Essentials Exam (SIE) (SIE) exam questions. You must try PDFTorrent Securities Industry Essentials Exam (SIE) (SIE) practice exam that will help you get the FINRA SIE certification.

FINRA SIE Exam Syllabus Topics:

Topic
Details

Topic 1

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 2

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 3

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.

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2025 FINRA SIE: Updated Securities Industry Essentials Exam (SIE) Pass4sure Study Materials

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q17-Q22):

NEW QUESTION # 17
Which of the following is a reportable obligation with respect to an individual's Form U4?

A. A change of residential address
B. A speeding ticket
C. A gambling-related misdemeanor charge
D. A change of business telephone number

Answer: C

Explanation:
Step by Step Explanation:
* Form U4 Reporting Requirements: Registered persons must disclose criminal charges (excluding minor traffic violations) and material changes such as residential address changes. Gambling-related misdemeanors are considered reportable.
* Incorrect Options:
* Speeding Ticket: Typically not reportable unless it involves a felony.
* Business Telephone Number: Not material for Form U4.
References:
* FINRA Form U4 Instructions: FINRA Form U4.

NEW QUESTION # 18
At a prospecting event, a registered representative (RR) provides cards for attendees to write down their contact information if they want to have a follow-up meeting with her. Which of the following actions should the RR take in this situation to comply with telemarketing rules?

A. Limit contact with prospects to between 9 a.m. and 9 p.m.
B. Prior to contacting the prospects, check all of the names on the cards to make sure they are not on the National Do Not Call Registry
C. Contact the prospects at will since they provided express written consent
D. Obtain the broker-dealer's approval before making a call

Answer: B

Explanation:
Step by Step Explanation:
* Telemarketing Rules (FINRA Rule 3230): Require firms to check the National Do Not Call Registry before contacting individuals, even if those individuals provide their contact information voluntarily.
* Incorrect Options:
* A: Approval isn't required for individual follow-ups; compliance with the registry is.
* B: While calls must be limited to appropriate hours, the registry check is still mandatory.
* C: Written consent does not override the registry requirement.
References:
* FINRA Rule 3230 (Telemarketing): FINRA Rule 3230.

NEW QUESTION # 19
Which of the following is not a pass-through entity for tax purposes?

A. A C corporation
B. A real estate investment trust (REIT)
C. A limited liability company (LLC)
D. An S corporation

Answer: A

Explanation:
A pass-through entity does not pay corporate income taxes; instead, income is passed to owners, who report it on their individual tax returns.
* A is correctbecause C corporations are not pass-through entities; they pay corporate taxes.
* B,C, andDare all pass-through entities for tax purposes.

NEW QUESTION # 20
When exercised, an option written on which of the following items must be settled in cash?

A. Master limited partnership
B. Preferred stock
C. Equity index
D. Exchange-traded funds (ETFs)

Answer: C

Explanation:
Step by Step Explanation:
* Equity Index Options: These are cash-settled because the underlying asset is not a physical security but a theoretical value representing the index.
* Incorrect Options:
* Preferred Stock, Master Limited Partnerships, and ETFs: These involve physical delivery of the underlying asset upon exercise.
References:
* Options Clearing Corporation (OCC) Guidelines: OCC Cash-Settled Options.

NEW QUESTION # 21
A customer wants to establish an account for the benefit of his grandchildren. He states to his registered representative that he wants to be able to control the distribution of the assets and direct how the account will be invested. Which of the following account types is most appropriate?

A. 529 savings plan
B. Trust
C. Certificate of deposit (CD)
D. UTMA

Answer: B

Explanation:
Step by Step Explanation:
* Trust Accounts: Provide the account owner (trustee) full control over distributions and investment decisions. Suitable for complex estate planning needs.
* Incorrect Options:
* UTMA: Transfers control to the minor upon reaching the age of majority.
* 529 Plan: Used for educational savings, with limited control over distributions.
* CD: A fixed-term deposit, not an account type for managing distributions.
References:
* SEC and FINRA Guidelines on Trusts: FINRA Trust Accounts.

NEW QUESTION # 22
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