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: May 11, 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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A customer buys 100 ABC at $50 and at the same time sells an ABC April 50 call at $8. At expiration, ABC
must be at what market price for the customer to break even?
Answer: A
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A customer buys 100 ABC at $50 and at the same time sells an ABC April 50 call at $8. At expiration, ABC
must be at what market price for the customer to break even?
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Question 2
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At a prospecting event, a registered representative (RR) provides cards for attendees to write down their
contact information if they want to have a follow-up meeting with her. Which of the following actions should
the RR take in this situation to comply with telemarketing rules?
Answer: D
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At a prospecting event, a registered representative (RR) provides cards for attendees to write down their
contact information if they want to have a follow-up meeting with her. Which of the following actions should
the RR take in this situation to comply with telemarketing rules?
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Question 3
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Which of the following terms describes failure to honor a firm quote?
Answer: B
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Which of the following terms describes failure to honor a firm quote?
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Question 4
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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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A registered representative (RR) at a member firm is the subject of a statutory disqualification. Which
of the following statements is true?
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Question 5
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The formation of an asset-backed security or debt obligation that represents a claim on the cash flows from
mortgage loans is known as:
Answer: A
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The formation of an asset-backed security or debt obligation that represents a claim on the cash flows from
mortgage loans is known as: