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SIE Exam Practice Questions and Answers (100% Pass)

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SIE Exam Practice Questions and Answers (100% Pass) A broker-dealer must establish info barriers between two departments? a. Research & Compliance b. Retail & Institutional Sales c. HR & Retail Sales d. Investment Banking. & Trading - Answer️️ -d. Investment Banking. & Trading A registere...

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©PREP4EXAMS2024/2025 REAL EXAMS DUMP Thursday, August 8, 2024 6,44 PM

SIE Exam Practice Questions and Answers (100% Pass)

A broker-dealer must establish info barriers between two departments?

a. Research & Compliance

b. Retail & Institutional Sales

c. HR & Retail Sales

d. Investment Banking. & Trading - Answer✔️✔️-d. Investment Banking. & Trading

A registered representative persuades a customer to purchase a security by assuring
her that, should it fall in value, the representative will make up the difference in the
account. This practice is:

a. Permitted if the arrangement is in writing and preapproved by the firm

b. Permitted if the customer maintains an outside business relationship with the rep

c. Permitted if the customer is an immediate family member

d. Not permitted - Answer✔️✔️-d. Not permitted

A company has announced a tender offer for its shares at $50. The issuer wants to
purchase a minimum of 100,000 shares, up to a maximum of 1,000,000 shares. If
80,000 shares are tendered, how much will an investor receive if he has tendered
1,000 shares?

a. $0

b. $50,000

c. $40,000

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d. $4,000 - Answer✔️✔️-$0

An investor in a mutual fund:

a. Owns the actual securities in the portfolio

b. Owns shares which represent an interest in the portfolio

c. Is considered a creditor of the portfolio

d. Is considered a limited partner in the fund - Answer✔️✔️-b. Owns shares which
represent an interest in the portfolio

A covered call writer can be described as being:

a. Short the call, and short the stock

b. Short the call, and long the stock

c. Long the call, and short the stock

d. Long the call, and long the stock - Answer✔️✔️-b. Short the call, and long the
stock

Which of the following persons can a registered representative either make a loan
to or borrow money from without providing notification to her employer?

a. Another employee of an affiliated broker-dealer

b. An institution that's in the business of borrowing or lending funds

c. An individual with whom the RR maintains a personal relationship

d. A company with which the RR has a business relationship - Answer✔️✔️-b. An
institution that's in the business of borrowing or lending funds

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Government-sponsored enterprise securities are comparable to direct government
obligations with regard to all of the following statements, EXCEPT:

a. They trade in the OTC market

b. All are government guaranteed

c. Short-term securities are quoted on a discount yield

d. Long-term securities are quoted as a percentage of par - Answer✔️✔️-b. All are
government guaranteed

A 5% $1,000 par value bond sells at $900 and matures in 10 years. What is the
amount of each interest payment?

a. $25

b. $45

c. $50

d. $90 - Answer✔️✔️-a. $25

A Treasury bond is quoted 105.04 - 105.24. The purchase price that a customer
would expect to pay would be:

a. $1,051.25

b. $1,052.40

c. $1,054.00

d. $1,057.50 - Answer✔️✔️-d. $1,057.50

If a market maker has a current quote of 50.00 - 50.05 (15 x 20), this indicates that
the firm is willing to:

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a. Sell 200 shares at $50.00 and buy 150 shares at $50.05

b. Buy 150 shares at $50.00 and sell 200 shares at $50.05

c. Sell 1,500 shares at $50.00 and buy 2,000 shares at $50.05

d. Buy 1,500 shares at $50.00 and sell 2,000 shares at $50.05 - Answer✔️✔️-d. Buy
1,500 shares at $50.00 and sell 2,000 shares at $50.05

An investor purchases a 20-year 5.30% bond at par value that will yield 5.75% if
called at the first call date in five years. The yield to maturity on the bond is:

a. 5.30%

b. More than 5.30%

c. Between 5.30% and 5.75%

d. 5.75% - Answer✔️✔️-a. 5.30%

A registered representative has recently passed the Series 7 Examination. If the RR
conducts business in five states, she is required to:

a. Register in three of the five states

b. Notify FINRA, but not required to register in any of the states

c. Register in the states in which she has an office

d. Register in all five states - Answer✔️✔️-d. Register in all five states

Who is responsible for creating the official statement for a municipal bond
offering?

a. The issuer

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