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Exam Code:	SIE
Exam Name:	Securities Industry Essentials Exam (SIE)
Certification Provider:	FINRA
Free Question Number:	80
Version:	v2025-09-26
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# of views:	108
# of Questions views:	924
Go To SIE Questions

Exam Question List: Question 1: A registered representative (RR) receives a mutual fund orde...; Question 2: An investor sells shares of a closed-end fund at the market....; Question 3: Which of the following is a reportable obligation with respe...; Question 4: Which of the following statements is true of an index exchan...; Question 5: Which of the following responses best describes a short sale...; Question 6: An investor holds 1,000 shares of a stock with a total cost ...; Question 7: Which of the following transactions gives a U.S. citizen the...; Question 8: An investor is bullish on the technology sector and heavily ...; Question 9: Which of the following entities settles broker-to-broker equ...; Question 10: Which of the following disclosures is a municipal securities...; Question 11: The civil penalty for an individual who is convicted of an i...; Question 12: Which of the following is the primary risk of using asset al...; Question 13: A customer owns 100 shares of ABC with a current market valu...; Question 14: Company ABC stock currently trades on an exchange. An ABC in...; Question 15: An individual investor has $300,000 in cash and $400,000 in ...; Question 16: What is the sales load of an open-end investment company wit...; Question 17: The formation of an asset-backed security or debt obligation...; Question 18: When is it permissible to exercise European-style options co...; Question 19: Which of the following listed securities carries voting righ...; Question 20: Class A and Class C shares of a mutual fund differ in which ...; Question 21: SIPC provides investor protection for its members' customers...; Question 22: A rating agency downgrades a corporation's credit rating. Wh...; Question 23: A customer buys 100 ABC at $50 and at the same time sells an...; Question 24: Which of the following securities has the greatest investmen...; Question 25: Which of the following strategies is an investor most likely...; Question 26: Under SEC Regulation D, which of the following parties is co...; Question 27: A customer purchased 100 shares of Company XYZ common stock ...; Question 28: Which of the following responses best describes how member f...; Question 29: How long are unused funds permitted to remain in a Coverdell...; Question 30: A customer purchases $3,000 of XYZ, which settles today in a...; Question 31: When is a newly registered person subject to the Continuing ...; Question 32: A market maker quotes the market on an NMS equity security a...; Question 33: A customer purchased $80,000 of Fund XYZ two years ago. He n...; Question 34: On settlement date, a customer is unable to pay for a purcha...; Question 35: Rising economic activity is most likely to increase revenues...; Question 36: If an investor is bullish on ABC, which of the following act...; Question 37: Which of the following statements is true about a corporatio...; Question 38: Which of the following statements describes a characteristic...; Question 39: A customer wants to open an account to trade covered calls a...; Question 40: SEC Regulation S-P (Consumer Privacy) requires certain infor...; Question 41: Company XYZ is a U.S.-based provider of domestic utility ser...; Question 42: A currency devaluation impacts a country's economic activity...; Question 43: An investor wants to purchase mutual fund shares, but she is...; Question 44: A bond with a par value of $1,000 that is backed by the taxi...; Question 45: Which of the following statements concerning nonqualified de...; Question 46: A market maker quotes the market on an NMS equity security a...; Question 47: A customer will be out of the country for the next two month...; Question 48: A registered representative (RR) owns 500 shares of a thinly...; Question 49: Which of the following responses describes a common feature ...; Question 50: Which of the following activities is a responsibility of a m...; Question 51: Pursuant to the Securities Act of 1933, registration is requ...; Question 52: For a customer thinking about purchasing a high-income bond ...; Question 53: Beta coefficient is a measure of:...; Question 54: Which of the following statements is true with regard to SIP...; Question 55: Which of the following is not a pass-through entity for tax ...; Question 56: A customer has a stock position that has increased in value ...; Question 57: A registered representative (RR) has a referral relationship...; Question 58: The cash value of a variable life insurance policy is affect...; Question 59: When are registered persons required to fulfill their Contin...; Question 60: Which of the following rates is the interest rate at which b...; Question 61: Which of the following terms describes an offer to purchase ...; Question 62: Which of the following statements is true regarding 529 savi...; Question 63: A broker-dealer (BD) creates a marketing postcard that inclu...; Question 64: Which of the following responses best describes the primary ...; Question 65: Which of the following risks are associated with Treasury se...; Question 66: Under SEC Regulation A, which of the following market partic...; Question 67: Under which of the following circumstances, if any, is it pe...; Question 68: Which of the following responses describes a collateralized ...; Question 69: Company XYZ files a registration statement for its initial p...; Question 70: A customer wants to establish an account for the benefit of ...; Question 71: Assume that the economy is operating at nearly full capacity...; Question 72: Offering 403(b) tax-sheltered annuity accounts to which of t...; Question 73: A registered representative (RR) opens a new account for a c...; Question 74: Which of the following security types is frequently offered ...; Question 75: Which of the following is considered nonpublic information?...; Question 76: The process in which the buying firm must pay for the securi...; Question 77: Which of the following statements best describes an American...; Question 78: A summary prospectus for a mutual fund must contain which of...; Question 79: A confirmation indicates a 100-share purchase of Company ABC...; Question 80: Publicly traded limited partnership interests are typically ...

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