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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	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	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.

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 features is characteristic of common stock?

A. Has greater priority than preferred stock in the event of corporate liquidation
B. Represents ownership in a corporation
C. Has greater priority than bonds in the event of corporate liquidation
D. Has fixed dividend payments

Reveal Solution Discussion 0

Correct Answer: B 🗳️