FINRA SIE Practice Test [2025]

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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 1	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 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 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 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 responses best characterizes a money market mutual fund?

A. Its price is fixed at $1 per share.
B. Its underlying investments are short term.
C. It pays a fixed rate of return.
D. Its yield always exceeds a savings account rate.

Answer: B

Explanation:
Money market mutual funds invest in highly liquid, short-term debt instruments, such as Treasury bills, commercial paper, and certificates of deposit. While the funds aim to maintain a stable $1 NAV, this is not guaranteed.
* C is correctbecause the fund's investments are short term.
* Ais incorrect because the rate of return is not fixed; it varies with market interest rates.
* Bis incorrect because while the fund tries to maintain a $1 NAV, it is not guaranteed.
* Dis incorrect because yields do not always exceed those of savings accounts.

NEW QUESTION # 33
Which of the following securities has the greatest investment risk?

A. Blue chip stocks
B. Government bonds
C. Technology stocks
D. Corporate bonds

Answer: C

Explanation:
Technology stocks are considered high-risk investments due to their volatility and sensitivity to economic cycles, regulatory changes, and technological advancements. While they may offer significant growth potential, they carry greater risk than blue chip stocks, corporate bonds, or government bonds.
* C is correctbecause technology stocks are subject to high volatility and risk.
* Ais incorrect because blue chip stocks are generally stable and lower-risk.
* Bis incorrect because corporate bonds carry moderate risk, depending on the issuer's creditworthiness.
* Dis incorrect because government bonds are considered low-risk due to the backing of the issuing government.

NEW QUESTION # 34
A city has appointed Broker-dealer XYZ to act as lead underwriter for its upcoming issuance of municipal bonds. This is an example of which of the following types of offering?

A. A competitive offering
B. A best-efforts offering
C. A follow-on offering
D. A negotiated offering

Answer: D

Explanation:
Step by Step Explanation:
* Negotiated Offering: Occurs when the issuer directly selects an underwriter and negotiates terms.
Common in municipal bond issuances.
* Incorrect Options:
* A: Follow-on offerings apply to subsequent issuances of equity securities.
* C: Competitive offerings involve multiple underwriters submitting bids.
* D: Best-efforts offerings do not guarantee the sale of all securities.
References:
* MSRB Overview of Municipal Offerings: MSRB Offerings.

NEW QUESTION # 35
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 # 36
Class A and Class C shares of a mutual fund differ in which of the following ways?

A. The net asset value (NAV)
B. When the customer is permitted to purchase
C. The expense ratio
D. The underlying investments

Answer: C

Explanation:
Step by Step Explanation:
* Expense Ratio: Class A shares typically have lower ongoing expense ratios but higher front-end sales charges. Class C shares often have higher ongoing expense ratios but no front-end charges.
* Incorrect Options:
* B: NAV is determined daily and does not vary by share class.
* C: All share classes invest in the same underlying portfolio.
* D: Purchase timing is the same for all share classes.
References:
* SEC Guidance on Mutual Fund Share Classes: SEC Fund Classes.

NEW QUESTION # 37
......

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FINRA SIE Practice Test [2025]

FINRA SIE Exam Syllabus Topics:

2025 SIE – 100% Free Valid Test Materials | Reliable SIE Certification Exam Dumps

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q32-Q37):

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