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FINRA SIE Exam With Confidence Using Practice Dumps

Exam Code:
SIE
Exam Name:
Securities Industry Essentials Exam (SIE)
Certification:
General Securities Representative
Vendor:
FINRA
Questions:
85
Last Updated:
Jan 24, 2025
Exam Status:
Stable
FINRA SIE

SIE: General Securities Representative Exam 2024 Study Guide Pdf and Test Engine

Are you worried about passing the FINRA SIE (Securities Industry Essentials Exam (SIE)) exam? Download the most recent FINRA SIE braindumps with answers that are 100% real. After downloading the FINRA SIE exam dumps training , you can receive 99 days of free updates, making this website one of the best options to save additional money. In order to help you prepare for the FINRA SIE exam questions and verified answers by IT certified experts, CertsTopics has put together a complete collection of dumps questions and answers. To help you prepare and pass the FINRA SIE exam on your first attempt, we have compiled actual exam questions and their answers. 

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Securities Industry Essentials Exam (SIE) Questions and Answers

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Question 1

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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Question 2

A real estate investment trust (REIT) is required to invest what percentage of total assets in real-estate-related assets to maintain favorable tax treatment?

Options:

A.

At least 50% of total assets

B.

At least 75% of total assets

C.

At least 90% of total assets

D.

100% of assets

Question 3

An investor holds 1,000 shares of a stock with a total cost basis of $5,000 in his account when a 1-for-5 reverse stock split is announced. What will be the investor's total cost basis after the payable date of the reverse split?

Options:

A.

$1,000

B.

$2,500

C.

$5,000

D.

$25,000

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