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SIE Exam Dumps : Securities Industry Essentials Exam (SIE)

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FINRA Related Exams

FINRA Series-63

Uniform Securities State Law Examination

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FINRA SIE Exam Dumps FAQs

Q. # 1: What is the FINRA SIE Exam?

The FINRA SIE (Securities Industry Essentials) exam is an entry-level assessment that evaluates a candidates understanding of basic securities industry knowledge, including regulatory frameworks, investment products, and ethics. It is administered by FINRA and is a prerequisite for working in the U.S. securities industry.

Q. # 2: Who should take the FINRA SIE Exam?

The FINRA SIE exam is ideal for aspiring financial professionals, including students, recent graduates, and career changers looking to enter the securities industry. No sponsorship is required, making it a great first step for anyone interested in finance or investment roles.

Q. # 3: What are the main topics covered in the FINRA SIE Exam?

The FINRA SIE exam covers four key sections:

  • Knowledge of Capital Markets (16%)
  • Understanding Products and Their Risks (44%)
  • Understanding Trading, Customer Accounts, and Prohibited Activities (31%)
  • Overview of Regulatory Framework (9%)

Q. # 4: How many questions are on the FINRA SIE Exam?

The FINRA SIE exam consists of 75 scored multiple-choice questions and 10 unscored pretest questions, totaling 85 questions. Only the 75 scored questions count toward your final score.

Q. # 5: What is the time limit for completing the FINRA SIE Exam?

Candidates are given 1 hour and 45 minutes to complete the entire FINRA SIE exam.

Q. # 6: What is the passing score for the FINRA SIE Exam?

You must score 70% or higher on the 75 scored questions to pass the FINRA SIE exam.

Q. # 7: Does CertsTopics provide Questions and Answers for the FINRA SIE Exam?

Yes, CertsTopics offers expert-reviewed SIE Questions and Answers PDFs tailored specifically for the General Securities Representative Certification. Our SIE study materials help clarify complex concepts and reinforce your learning.

Q. # 8: Does CertsTopics offer a success guarantee for FINRA SIE exam prep?

Yes! CertsTopics backs its SIE study materials with a success guarantee. Our trusted prep guides and SIE practice tests are designed to help you pass on your first attemptor you may qualify for a full refund.

Q. # 9: What is the cost of the FINRA SIE Exam?

The registration fee for the FINRA SIE Exam is $80 USD, payable through FINRAs official website.

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Securities Industry Essentials Exam (SIE) Questions and Answers

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Question 1

A customer will be out of the country for the next two months on business and asks his firm to hold his mail until he returns. Which of the following statements is true regarding this request?

Options:

A.

The firm is prohibited from holding the customer's mail under FINRA rules due to the personal information contained.

B.

The firm must receive written instructions from the customer that include the time period for the requested mail hold.

C.

The firm is permitted to hold the mail as long as the registered representative (RR) complies with the customer's oral instructions.

D.

At the discretion of the RR, the firm is permitted to hold the customer's mail provided it takes reasonable actions to ensure no tampering occurs with this mail.

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Question 2

Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities, which of the following conditions must be met?

Options:

A.

The affiliate must have a holding period of six months.

B.

The company must be traded on a listed stock exchange.

C.

The issuer must notify FINRA of the proposed sale by submitting a Form 144.

D.

The shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.

Question 3

A customer retires at age 65 and rolls over his 401(k) of $850,000 In equities into an Individual retirement account (IRA). This Is his entire portfolio, and he is concerned about the stock market collapsing and ruining his portfolio. The customer is most concerned with which type of risk?

Options:

A.

political

B.

Inflation

C.

Systematic

D.

Interest rate

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