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FINRA SIE Practice Exam Review Questions and Answers | 100% Pass
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FINRA SIE Practice Exam Review Questions and Answers | 100% Pass Direct Participation Programs (DPPs) provide: - ️️ Correct-exposure to non-correlated assets with steady returns Under Federal Reserve Regulation T, a 90-day restriction is imposed when a customer opens and closes which of th...

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  • September 25, 2024
  • 7
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • finra sie practice exam review questions and answe

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

FINRA SIE Practice Exam Review
Questions and Answers | 100% Pass


Direct Participation Programs (DPPs) provide: - ✔️✔️Correct-exposure to non-correlated

assets with steady returns

Under Federal Reserve Regulation T, a 90-day restriction is imposed when a customer

opens and closes which of the following positions? - ✔️✔️Correct-The same stock in a

cash account without paying for the stock in full

Under the securities act of 1933, registration is required for which of the following

securities - ✔️✔️Correct-American Depository Receipts (ADRs)

A customer has a cash balance in her account together with long positions in several

securities. She has made no securities transactions in the account during the past 18

months. How often must her firm send her and account statement? - ✔️✔️Correct-

Quarterly

Under SEC Regulation S-P (Consumer Privacy), which of the following information must

a firm include in its customer privacy and opt-out notices? - ✔️✔️Correct-The policies that

protect the security of non-public information

What action is required of a broker dealer's anti money laundering (AML) program? -

✔️✔️Correct-Designating an AML compliance officer


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, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
Which investment risk is the greatest risk in a variable life insurance policy - ✔️✔️Correct-

Market risk

What consideration should a registered representative explain to a customer when

recommending a 529 college savings plan - ✔️✔️Correct-potential deductibility of

contributions from state taxes

The redemption value of an open-end investment company's shares is based on the: -

✔️✔️Correct-NAV computed after the order is received

Describe treasury stocks - ✔️✔️Correct-They are issued stocks that have been

subsequently reacquired by the corporation

Call protection is most valuable to a bond owner when bond prices are generally: -

✔️✔️Correct-rising

An associated person who is not a registered representative is permitted to do what? -

✔️✔️Correct-Provide account opening forms to a new customer

Under normal circumstances, a customer's letter of intent on a mutual fund purchase is

valid for what maximum period of time? - ✔️✔️Correct-13 months

No-load mutual funds may have lower expense ratios than load mutual funds for which

of the following reasons? - ✔️✔️Correct-No-load funds are not permitted to charge a 12b-

1 fee greater than 25 basis points




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