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SIE Exam Dumps : Securities Industry Essentials Exam (SIE)

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Securities Industry Essentials Exam (SIE) Questions and Answers

Question 1

When is it permissible to exercise European-style options contracts?

Options:

A.

Only on the last business day before expiration

B.

Only on the day of expiration

C.

Only on the day after expiration

D.

Only on the third Friday of every month

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Question 2

A broker-dealer (BD) creates a marketing postcard that includes a statement regarding FINRA's endorsement of the BD. Which of the following responses is true?

Options:

A.

The statement regarding FINRA's endorsement is not permissible.

B.

The statement is permissible if a principal of the BD approves it in writing prior to use.

C.

The statement is permissible if the statement is approved in writing by FINRA prior to use.

D.

The statement is permissible if the postcard does not discuss specific investment opportunities.

Question 3

A customer owns 100 shares of ABC with a current market value of $5.00 per share. The company undergoes a 1-for-2 reverse split of the stock. Which of the following statements is true of the customer's holdings and the price of the stock?

Options:

A.

The customer will have 50 shares at $10.00 per share.

B.

The customer will have 100 shares at $5.00 per share.

C.

The customer will have 200 shares at $2.50 per share.

D.

The customer will have 1,000 shares at $0.50 per share.