FINRA SIE試験番号、SIE問題トレーリング

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FINRA SIE 認定試験の出題範囲：

トピック出題範囲
トピック 1
  • 規制機関、政府機関、市場参加者: 試験のこのセクションでは、金融規制アナリストのスキルを測定し、金融市場を監督する主要な規制機関の構造、権限、管轄権について取り上げます。証券規制の施行における SEC の役割、および FINRA や MSRB などの自主規制組織の権限が評価されます。受験者は、財務省や州の規制機関など、他の金融規制機関の機能も理解する必要があります。評価される重要なスキルの 1 つは、さまざまな金融規制機関の管轄範囲を特定することです。
トピック 2
  • 取引、顧客アカウント、禁止行為の理解: 試験のこのセクションでは、証券トレーダーのスキルを測定し、さまざまな取引戦略、決済プロセス、企業行動に焦点を当てます。受験者は、成行注文、指値注文、逆指値注文、キャンセル期限注文などの注文タイプ、およびビッド・アスク・スプレッド、裁量取引と非裁量取引に関する知識を証明する必要があります。
トピック 3
  • 規制フレームワークの概要: 試験のこのセクションでは、コンプライアンス担当者のスキルを測定し、関係者の登録や継続教育を含む自主規制組織 (SRO) の要件に関する知識を評価します。受験者は、登録済み個人と未登録個人の違いと、業界の資格を維持するための要件を理解している必要があります。

>> FINRA SIE試験番号 <<

SIE問題トレーリング、SIE学習範囲

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FINRA Securities Industry Essentials Exam (SIE) 認定 SIE 試験問題 (Q147-Q152):

質問 # 147
An investor is long 100 shares of XYZ and sells a covered call with a strike price of $50. If XYZ closes at
$45 on the day of expiration, the investor should expect:

正解：C

解説：
This scenario describes a covered call: the investor owns the underlying stock (long 100 shares) and has sold (written) a call option against it. A call option gives its holder the right to buy the stock at the strike price ($50) before expiration. On expiration day, the key question is whether the option is in the money (stock price above strike) or out of the money (stock price below strike). If XYZ closes at $45, the call option with a $50 strike is out of the money because exercising the right to buy at $50 makes no economic sense when the market price is $45. As a result, the call will typically expire worthless, and the writer keeps the premium collected. The investor remains long the original 100 shares, which is exactly choice B.
Choice A is incorrect because assignment/exercise is most likely when the option is in the money at expiration (and sometimes slightly in the money intraday), not when it is out of the money. Choice C is incorrect because standard listed equity options do not create a "margin call on the expiring contract" simply because they expire; margin requirements are about risk exposure while positions are open, and here the position is covered by stock ownership. Choice D is incorrect because a call option expiring out of the money does not deliver shares to the writer; it simply expires and disappears.
This tests core SIE options mechanics: moneyness, expiration outcomes, assignment likelihood, and covered vs. uncovered risk.


質問 # 148
Rising economic activity is most likely to increase revenues of which of the following sectors?

正解：A

解説：
Step by Step Explanation:
* Consumer Discretionary Sector: Includes products and services that are not essential, such as luxury items, travel, and entertainment. Revenues increase as disposable income rises during economic expansion.
* Consumer Staples and Utilities: These sectors are defensive and less impacted by economic cycles.
* Healthcare: Also less correlated with economic cycles due to its essential nature.
SEC and FINRA Guidance on Sectors: Investopedia Sector Overview.


質問 # 149
The Investment Company Act of 1940 requires that a minimum percentage of a fund's board members are
"uninterested persons." This requirement is best described as an attempt to:

正解：D

解説：
The Investment Company Act of 1940 emphasizes shareholder protection through governance standards, including requirements that a fund's board include a minimum percentage of "uninterested" (independent) persons. The purpose is to reduce adviser dominance and mitigate conflicts that can arise when the fund's adviser or affiliated parties effectively control oversight. "Uninterested" generally means the director has no material business relationship with the fund's adviser, principal underwriter, or key affiliates that would compromise independent judgment. Therefore, the best description is D.
Choices A and B are plausible-sounding governance benefits, but they are not the regulatory intent being tested. The rule is not primarily about diversity of professional experience or broadening expertise; it is about independence from adviser influence. Choice C is too general and doesn't capture the targeted problem: the Act's board independence provisions are designed to ensure the board can objectively evaluate matters that directly affect shareholders, such as advisory contracts, fee arrangements, compliance oversight, and potential self-dealing.
On the SIE, this ties directly to the theme of conflicts of interest in investment companies. Mutual fund advisers are paid fees based on assets under management, creating incentives that might not always align with shareholders. Independent directors are intended to serve as a check by reviewing and approving key arrangements and providing meaningful oversight. The exam often connects this governance concept to broader investor protections: disclosure, fiduciary oversight, limitations on affiliated transactions, and the idea that fund boards should represent shareholder interests rather than adviser interests.


質問 # 150
Which of the following statements is true regarding 529 savings plans?

正解：B

解説：
529 savings plans are state-sponsored education savings accounts that offer tax-advantaged growth. Key features include:
* Contributions are not federally tax deductible (some states offer state-level deductions).
* No income limitations for contributions.
* The account owner, not the beneficiary, controls the plan.
* Assets can be transferred tax-free to another family member's 529 plan.
* D is correct because tax-free rollovers are allowed for family members of the current beneficiary.
* A is incorrect as contributions are not universally tax deductible.
* B is incorrect as there are no income limitations for contributing.
* C is incorrect because the account owner, not the beneficiary, controls the assets.
Reference: IRS Publication 970: Tax Benefits for Education


質問 # 151
Trades that settle within the period preset by regulators of the particular market are considered to have which of the following types of settlement?

正解：A

解説：
"Regular way" settlement refers to the standard settlement cycle for securities transactions, which is T+2 for most stocks and bonds. This timeline is set by regulators to ensure orderly processing of trades.
* D is correct because regular way settlement follows the preset T+2 cycle.
* A is incorrect because cash settlement occurs the same day as the trade.
* B is not a recognized term for settlement types.
* C is incorrect because next-day settlement applies only to specific securities (e.g., Treasury securities).
Reference: SEC Rule 15c6-1


質問 # 152
......

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