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SIE practice test questions answers

FINRA SIE Dumps Questions Answers

Exam Code:
SIE
Last Update: Dec 14, 2024
85 Questions Answers with Explanation Detail
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FINRA SIE Last Week Results!

31

Customers Passed
FINRA SIE

88%

Average Score In Real
Exam At Testing Centre

95%

Questions came word by
word from this dump

SIE Q&A's Detail

Exam Code:
SIE
Total Questions:
85 Q&A's
Single Choice Questions:
85 Q&A's

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All General Securities Representative Related Certification Exams

Securities Industry Essentials Exam (SIE) Questions and Answers

Questions 1

An investor wants to purchase additional mutual fund shares with income distributed by the fund. Which of the following fund options permits this?

Options:

A.

Asset reallocation

B.

Dollar cost averaging

C.

Dividend reinvestment

D.

Capital gains reinvestment

Questions 2

A customer purchases 100 shares of stock on Thursday, August 2. This transaction must settle regular way no later than:

Options:

A.

Friday, August 3

B.

Monday, August 6

C.

Tuesday, August 7

D.

Wednesday, August 8

Questions 3

A registered representative wants to open an account for himself at a different financial institution. Under FINRA rules, which of the following accounts requires prior written consent from his employing broker-dealer?

Options:

A.

A 529 savings plan account established for his grandchild

B.

Mutual fund accounts held directly with the fund company

C.

Variable contracts registered under the Investment Company Act

D.

An investment advisory account in which securities transactions are effected

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