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 SIE Dumps with Practice Exam Questions Answers

Questions: 85 questions With Step-by-Step Explanation

Last Update: Dec 5, 2024

SIE Question Includes: Single Choice Questions: 85,

SIE Exam Last Week Results!

20

Customers Passed
FINRA SIE

91%

Average Score In Real
Exam At Testing Centre

92%

Questions came word by
word from this dump

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SIE Questions and Answers

Question # 1

SEC regulations permit a company to issue securities exempted from registration requirements of the Securities Act of 1933 under which of the following conditions?

A.

Offerings sold inside of the U.S. to non-U.S. persons

B.

Offerings sold with no more than 40 accredited investors

C.

Offerings sold with an aggregate price exceeding $5 million

D.

Offerings with no more than 35 non-accredited investors and an unlimited number of accredited investors

Question # 2

When is it permissible to exercise European-style options contracts?

A.

Only on the last business day before expiration

B.

Only on the day of expiration

C.

Only on the day after expiration

D.

Only on the third Friday of every month

Question # 3

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?

A.

$42

B.

$44

C.

$50

D.

$58

Question # 4

An individual investor has $300,000 in cash and $400,000 in securities held with a financially troubled SIPC member firm for which liquidation has begun. The individual investor’s cash is protected for what amount?

A.

$150,000

B.

$250,000

C.

$300,000

D.

$700,000

Question # 5

A customer is unhappy about a $5,000 loss in a stock that the registered representative (RR) recommended and threatens to call FINRA's Securities Helpline for Seniors about the matter. What is the most appropriate next step for the RR to take?

A.

The RR should notify their supervisor about the customer's dissatisfaction.

B.

The RR is permitted to reimburse the customer for the loss to resolve the customer's complaint.

C.

The RR should alert their compliance department to update their Form U4 with the complaint details.

D.

The RR should call FINRA's Securities Helpline for Seniors before the customer does and explain their side of the story.