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SIE EXAM UNIT 4 QUESTIONS AND ANSWERS | 100% PASS FINRA membership eligibility standards are determined by A) the Municipal Securities Rulemaking Board (MSRB) B) the National Adjudicatory Council (NAC) C) the Securities and Exchange Commission (SEC) D) the Uniform Securities Act (USA) - Answe...

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  • 25 september 2024
  • 41
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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 UNIT 4 QUESTIONS AND
ANSWERS | 100% PASS

FINRA membership eligibility standards are determined by




A) the Municipal Securities Rulemaking Board (MSRB)

B) the National Adjudicatory Council (NAC)

C) the Securities and Exchange Commission (SEC)

D) the Uniform Securities Act (USA) - Answer✔️✔️-B. the National Adjuicatory Council

(NAC)



It is the NAC that has the responsibility for determining membership eligibility standards

for FINRA members.

An individual applying for registration as an associated person will be rejected if he



A) submitted an application for registration which omitted mention of a minor traffic

violation that occurred two years ago

B) failed to include the ZIP code on his home address

C) is under a court injunction regarding a domestic issue

D) is under an order of a foreign financial regulator denying, suspending, or revoking his

registration or barring him from association with a BD - Answer✔️✔️-D) is under an order

1/41

,TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
of a foreign financial regulator denying, suspending, or revoking his registration or

barring him from association with a BD



There are a number of reasons why application for registration as an associated person

might be rejected. Among themare if he is under an SEC order or an orderof a foreign

financial regulator denying, suspending, or revoking his registration or barring him from

association with a BD. Non-securities-related misdemeanors, such as traffic violations,

do not have to be reported. The ZIP code being left out is not a causefor rejection, and

only a court injunction enjoining him from entering the securities business would be

cause for rejection, not a domestic issue.

As a means of protecting the integrity of the industry and protection of the investing

public, associated persons of FINRA member firms must submit finger- print records to



A) the U.S. attorney general

B) the attorney general for the state in which they reside

C) the Securities and Exchange Commission (SEC)

D) the FBI - Answer✔️✔️-A. U.S. attorney general



Registered BDs must have fingerprint records made for most of their employees, and all

directors, officers, and partners must submit those fingerprint cards to the U.S. attorney

general for identification and processing.


2/41

,TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
If a registered representative (RR) has been barred from the securities industry while

working for the ABC broker-dealer (BD), which of the following is TRUE?



A) The RR must refrain from engaging with the public on any securities-related activity

for one year.

B) The RR may apply for and obtain a principal's registration, but may not engage any

direct sales of securities until the bar has expired.

C) The RR can be an adviser to a BD but may not be registered with a BD

D) The RR may not associate with any BD. - Answer✔️✔️-D. the RR may no associate

with any BD



If the SEC bars an associated person, no BD may allow that person to associate with it

without the SEC's express permission.

The receptionist at a BD opens all incoming mail and forwards to various depart- ments

and people of the firm. Which of the following statements is TRUE?



I. The receptionist must be fingerprinted.

II. The receptionist need not be fingerprinted.

III. The receptionist must be registered with FINRA.

IV. The receptionist need not be registered with FINRA.




3/41

, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
A) I and III

B) I and IV

C) II and III

D) II and IV - Answer✔️✔️-B. I and IV



When opening mail for the BD, it is inevitable that the receptionist will handle monies

and securities from customers,and as such, will need to be fingerprinted. Registration is

not required.

Which of the following is CORRECT regarding the continuing education regulatory

element requirements?



A) Training must be completed within 120 days of the person's second registration

anniversary and every 5 years thereafter.

B) Training must be completed within 120 days of the person's first registration

anniversary and then annually thereafter.

C) Training must be completed within 120 days of the person's second registration

anniversary and every 3 years thereafter.

D) Training must be completed annually. - Answer✔️✔️-C) Training must be completed

within 120 days of the person's second registration anniversary and every 3 years

thereafter.




4/41

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