Free FINRA SIE Exam Questions
Absolute Free SIE Exam Practice for Comprehensive Preparation
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FINRA SIE Exam Questions
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Provided By: FINRA
- Exam: Securities Industry Essentials (SIE)
- Certification: FINRA Introductory-level
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Total Questions: 166
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Updated On: Nov 24, 2025
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Rated: 4.9 |
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Online Users: 332
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Question 1
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Executing trades using the delivery versus payment (DVP) settlement process requires the buyer to make a cash payment by which of the following deadlines?
Answer: B
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Question 2
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A registered representative must complete which of the following activities when entering a discretionary trade?
Answer: B
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Question 3
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A registered representative (RR) at a member firm is the subject of a statutory disqualification. Which of the following statements is true?
Answer: B
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Question 4
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A municipal securities dealer makes a political contribution of $990 to a local mayoral candidate. At the end of the quarter, to whom, if anyone, must the dealer report the contribution?
Answer: B
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Question 5
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Shares in a private investment in public equity (PIPE) offering are priced:
Answer: B
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Shares in a private investment in public equity (PIPE) offering are priced: