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SIE Exam Section 4 Practice Questions and Answers | 100% Pass
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SIE Exam Section 4 Practice Questions and Answers | 100% Pass Which of the following may register as an Investment Company and Variable Contracts Limited Principal after passing the Series 26 exam? I. Brokers whose activities are expressly limited to dealings of shares of open-end investment c...

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  • September 25, 2024
  • 9
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • sie exam section 4 practice questions and answers

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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024

SIE Exam Section 4 Practice Questions
and Answers | 100% Pass

Which of the following may register as an Investment Company and Variable Contracts

Limited Principal after passing the Series 26 exam?




I. Brokers whose activities are expressly limited to dealings of shares of open-end

investment companies

II. Brokers of closed end investment companies during the period of original issuance

only.

III. Brokers of variable contracts and insurance premium funding programs

IV. Brokers whose activities are limited to dealings only in direct participation programs



A. I and IV

B. I, II, and III

C. II, III, and IV

D. I, II, III, and IV - Answer✔️✔️-B

Which of the following are grounds for statutory DQ except



A. Any misdemeanor in the last 5 yrs

B. Any felony in the last 10 yrs

1/9

, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
C. Lying on the U4 form

D. Being barred by another SRO - Answer✔️✔️-A

A series 6 registered rep may take a customer order for all of the following invmts

except



A. A closed end fund in the secondary mkt

B. A closed end fund in the primary mkt

C. A no load mutual fund

D. A sector mutual fund - Answer✔️✔️-A

If a municipal financial professional gives $300 to the campaign of the mayor in the city

where the MFP lives, for what period of time is the MFPs employing municipal firm

prohibited from doing a negotiated underwriting?



A. 6 months

B. 1 year

C. 18 months

D. 2 years - Answer✔️✔️-D

Registered persons on active duty in the US military who are placed on inactive status

with FINRA



A. Must retake a qualifying exam when they return from duty


2/9

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