Exam Name: Securities Industry Essentials Exam (SIE)
Certification Provider: FINRA
Corresponding Certification: General Securities Representative
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SIE PDF Practice Q&A's
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- Total Questions: 412
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- Total Questions: 412
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FINRA SIE Exam Syllabus Topics:
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Reference: https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam
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FINRA Securities Industry Essentials Exam (SIE) Sample Questions:
Which of the following statements is true regarding American Depositary Receipts?
- A. American Depositary Receipts offer a one-for-one conversion from U.S. shares to foreign shares.
- B. American Depositary Receipts pay dividends in U.S. dollars.
- C. American Depositary Receipts are not subject to currency fluctuations.
- D. American Depositary Receipts are not subject to political risk.
Correct Answer: B 🗳️
Accrued bond interest at the time of sale is paid to the:
- A. buyer on the trade date.
- B. buyer, as it is deducted from the net proceeds.
- C. seller on the next payment date.
- D. seller, as it is added to the net proceeds.
Correct Answer: D 🗳️
Explanation: Only visible for Pass4sures members. You can sign-up / login (it's free).
An investor owns $10,000 par value of a municipal bond with the following rates:
4.0% coupon rate
5.0% current yield
4.5% yield to maturity (YTM)
6.5% tax-equivalent yield
What amount of interest should the investor expect to receive each year?
- A. $500
- B. $650
- C. $400
- D. $450
Correct Answer: C 🗳️
Explanation: Only visible for Pass4sures members. You can sign-up / login (it's free).
Which of the following is considered nonpublic information?
- A. Customer ' s name
- B. Customer ' s address
- C. Customer ' s telephone number
- D. Customer ' s net worth
Correct Answer: D 🗳️
Explanation: Only visible for Pass4sures members. You can sign-up / login (it's free).
A broker-dealer (BD) is required to ensure a hyperlink to BrokerCheck is Included on which of the following communications?
- A. An email response to a complaint from a retail customer
- B. The BD ' s homepage intended for retail customers
- C. A registered representative ' s (RR ' s) outgoing email
- D. An RR ' s social media site that Identifies his BD employment
Correct Answer: B 🗳️
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