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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

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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Question 2

Which of the following terms describes failure to honor a firm quote?

Options:

A.

Freeriding

B.

Backing away

C.

Interpositioning

D.

Market manipulation

Question 3

Which of the following statements best describes the permissibility of a borrowing arrangement between a registered representative (RR) and a customer who is also the RR's grandfather?

Options:

A.

It is permissible subject to FINRA approval.

B.

It is permissible if the grandfather agrees in writing.

C.

It is permissible if the loan was made on commercially reasonable terms.

D.

It is permissible provided that the loan was made in accordance with the firm's policies.

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