36 SIE Exam Questions - Topics You Must Know With Suzy

Are you studying for the SIE exam? If so, THIS is a great video for you. In this Questions of the Week video Suzy Rhoades, the financial training expert at PassMasters, covers 36 Securities Industry Essentials (SIE) questions for you! These 36 questions represent the 36 TOPICS that you can expect to encounter when you take the SIE exam.

How do we know this? FINRA publishes an SIE content outline and Suzy has created a course that includes all of the information from the outline, broken down into easily digestible topics. In the case of the SIE exam, the course includes 36 TOPICS! Each topic in our course includes a PDF to read, a video to watch where Suzy explains what you read so it actually makes sense, and then a topic quiz to practice.

To check out the SIE course:

The SIE exam expects you to know a lot! It will take time and effort to pass this exam. We believe in you and know that YOU GOT THIS!

If you are curious about the FINRA SIE exam, check out this link:

Suzy also has course for those of you studying for your Series 6, 7, 63, 65 and 66 exams!

Check out all our offerings here:

Please let us know how we can help you on your journey in the securities industry. Just ask in the comments.

#sieexam #sietestprep #FINRAexams

Contents of this Video
0:00 - Intro
0:33 - Practice Question 1 – Repurchase agreements
1:42 - Practice Question 2 – What is this security?
2:15 - Practice Question 3 – How much can you lose?
2:41 - Practice Question 4 – Net worth formula
3:14 - Practice Question 5 – ETFs
4:13 - Practice Question 6 – Hedge funds
5:09 - Practice Question 7 – ETNs
5:38 - Practice Question 8 – Variable life insurance
6:33 - Practice Question 9 – Nonqualified retirement plan
7:26 - Practice Question 10 – HSA contributions
8:18 - Practice Question 11 – How is a dividend most commonly paid
8:40 - Practice Question 12 – Most important yield on a callable bond
12:27 - Practice Question 13 – Real return
14:06 - Practice Question 14 – Written complaint
14:35 - Practice Question 15 – Who does the CBOE run fingerprint based background checks on
15:11 - Practice Question 16 – Proxy and annual meeting
16:06 - Practice Question 17 – Maximum prison sentence for insider trading
16:23 - Practice Question 18 – Options hedge breakeven
18:03 - Practice Question 19 – Mail hold rule
18:37 - Practice Question 20 – Cost basis on inherited stock
19:05 - Practice Question 21 – Trading currencies
19:42 - Practice Question 22 – Systematic risk
20:20 - Practice Question 23 – Annuities
20:47 - Practice Question 24 – Market momentum
21:27 - Practice Question 25 – Bid minus commission
22:03 - Practice Question 26 – Regulation S-P
22:48 - Practice Question 27 – Discretionary authority
23:15 - Practice Question 28 – CIP Program
23:38 - Practice Question 29 – Securities markets
24:17 - Practice Question 30 – When can a R/R share in a customer's account
24:55 - Practice Question 31 – Block order
25:09 - Practice Question 32 – Market manipulation
25:35 - Practice Question 33 – Firm's do-not-call list
26:21 - Practice Question 34 – Rule 503 Form D
26:55 - Practice Question 35 – Form CRS
27:20 - Practice Question 36 – Inverted yield curve
29:47 - Recap

[AnumIAM]

I found your channel at the right time!!! Thank you for teaching this stuff. I have never worked in the finance field and got hired and sponsored to get licensed. I did not have much time to study due to marriage, work and kids....then eventually 2 weeks before the exam I am trying to cram (Pass Perfect courses). So here I am 2 days before the exam and still have not finished 5 chapters. I listened to this specific video on the 1 hour drive to test location and even listened as I fell asleep. I passed on the first try today February 7th. I cried and your face came to mind because I could not have done it without your help and 1 other youtuber. Thank you!!!

[amitpatni]

You are the best. Very educational, calm, detailed explanations. Thanks

[kixuh]

Man i love this lady, finally someone chill and nice to look at it💀💀💀

[JC-nhud]

Really GREAT videos. I passed the SIE yesterday. I passed it in the first try. Keep up the good work. Your videos helped me a lot.

[ImageDivaMedia]

I always learn something new, when I tune in to one of your videos. Thanks. And your drawing does not suck 😅

[Freiclips]

Awesome video thank you! Taking the SIE in a month!

[thehappyhoboguy]

On question #5, wouldn't answer choice 'B' also make sense. Although ETFs are negotiable, they are closely related to open-end management company's in terms of structure and operations.

[invyself]

Thanks again for your help, just passed my Series 65 yesterday!

Just 1 question for you... Is an Investment Advisor that has 5 or less non -qualified clients allowed to set up a fund under $25 million AUM for flat fees only? No performance fees.. "catch up" or "carried interest" right?

[Consciousness]

Don't pick the first tow answers then 5 and 6 where the first two answers. 😂😂 Lol. Really appreciate you doing this.

[snealb]

It’s not helpful when you answer the question before reading all of the answers! But great questions. Thanks!

[mahedibhuiyan]

Sorry to say but if you just explain the answer and pick it then the confusion for us people still there. I think it’s better if you break down the questions and then answers that would help a lot. Thank you.