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FINRA SIE Exam Syllabus Topics:

TopicDetails
Topic 1
  • 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 2
  • 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 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
  • 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 5
  • 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.

Reference: https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam

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SIE exam is an important FINRA Certification which can test your professional skills. Candidates want to pass the exam successfully to prove their competence. Fast2test FINRA technical experts have collected and certified 166 questions and answers of General Securities Representative - Securities Industry Essentials Exam (SIE) which are designed to cover the knowledge points of the Planning and Designing FINRA Superdome Server Solutions and enhance candidates' abilities. With Fast2test SIE preparation tests you can pass the General Securities Representative - Securities Industry Essentials Exam (SIE) easily, get the FINRA certification and go further on FINRA career path.

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Our Securities Industry Essentials Exam (SIE) Preparation Material provides you everything you will need to take a FINRA General Securities Representative SIE examination. Details are researched and produced by FINRA Certification Experts who are constantly using industry experience to produce precise, and logical.

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Fast2test Practice Exams for FINRA General Securities Representative SIE are written to the highest standards of technical accuracy, using only certified subject matter experts and published authors for development.

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