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Exam (elaborations)

FINRA SIE Practice Exam Questions & Answers 100% Verified

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FINRA SIE Practice Exam Questions & Answers 100% Verified Under the Securities act of 1933, registration is required for which of the following securities? - Correct Answer-American Depositary Receipts Which of the following outcomes are possible for the writer of a covered call option? - ...

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  • August 25, 2024
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  • 2024/2025
  • Exam (elaborations)
  • Questions & answers
  • FINRA
  • FINRA
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FINRA SIE Practice Exam Questions & Answers
100% Verified
Under the Securities act of 1933, registration is required for which of the

following securities? -


Correct Answer-American Depositary Receipts


Which of the following outcomes are possible for the writer of a covered call

option? - Correct


Answer-Profit limited and loss limited


A registered representative (RR) who wants to place a mutual fund

advertisement must obtain


written approval from which of the following parties? - Correct Answer-A

registered principal of


the RR's firm


An investor owns 100 shares of XYZ common stock at the current market price of

$50 per share.


If XYZ conducts a 1-for-2 reverse stock split, the investor's post-split stock

position will be: -

Correct Answer-50 shares at $100 per share

, FINRA SIE Practice Exam Questions & Answers
100% Verified
A firm is a participant in a public offering. To sell a substantial amount of the

securities to its


customers, the firm agrees to repurchase the shares at no less than the original

sales price. Such


agreements are: - Correct Answer-Prohibited as fraudulent and manipulative


Which of the following security types provides investors with a stated security

date, a floating


interest rate, and an option to put the security back to a financial intermediary

on a dairy or


weekly basis? - Correct Answer-Variable rate demand note


Which of the following investments are generally traded according to their

average life rather


than their stated maturity date? - Correct Answer-Asset-backed securities


Under FINRA rules, non-cash compensation connected with the sale of variable

contracts DOES

NOT include: - Correct Answer-Commissions

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