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: Jan 13, 2026
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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 registered representative who is terminated from a broker-dealer must notify FINRA of a residential address change for what period of time after termination?
Answer: B
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Question 2
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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 3
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Which of the following statements best describes an American Depositary Receipt (ADR)?
Answer: A
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Which of the following statements best describes an American Depositary Receipt (ADR)?
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Question 4
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Assuming yields are held constant, which of the following statements describes what will occur as a discount bond reaches maturity?
Answer: A
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Question 5
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An investor wants to purchase mutual fund shares, but she is concerned about the tax efficiency of the fund. Which of the following disclosures required under industry regulations will help the investor make an informed decision?
Answer: A
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