FINRA General Securities Representative SIE

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FINRA SIE Exam Syllabus Topics:

Reference: https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam

FINRA Securities Industry Essentials Exam (SIE) Sample Questions:

Question #1
On settlement date, a customer is unable to pay for a purchase in his cash account. His position is liquidated.
Which of the following statements is true according to Federal Reserve Regulation T?

A. Only closing transactions are permitted.
B. All related accounts are restricted for 90 days.
C. The customer is barred from trading for 30 days.
D. The customer's account is restricted for 90 days.

Question #2
Which of the following securities has the greatest investment risk?

A. Technology stocks
B. Blue chip stocks
C. Government bonds
D. Corporate bonds

Question #3
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?

A. One year
B. Two years
C. Three years
D. Six years

Question #4
In a rising interest rate environment, which of the following statements is true regarding the price of fixed-rate corporate bonds?

A. Their price will remain constant.
B. Their price will appreciate in value.
C. Their price will depreciate in value.
D. Their price will revert to par value.

Question #5
Which of the following characteristics is associated with joint tenants with rights of survivorship (JTWROS) accounts?

A. Accounts are not subject to probate.
B. Owners are subject to required minimum distributions.
C. Accounts are limited to two owners.
D. Realized gains are not taxable.

Solutions: