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FINRA SIE Practice Exam Questions and Answers | 100% Pass
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FINRA SIE Practice Exam Questions and Answers | 100% Pass When is interest on Treasury notes paid? A.) Quarterly B.) Semiannually C.) Annually D.) At maturity - ️️ Correct-B.) Semi-annually The computation of dollar prices and accrued interest on municipal bonds is normally on what cale...

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  • September 25, 2024
  • 29
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • finra sie practice exam questions and answers 10

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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 Questions and
Answers | 100% Pass

When is interest on Treasury notes paid?




A.) Quarterly

B.) Semiannually

C.) Annually

D.) At maturity - ✔️✔️Correct-B.) Semi-annually

The computation of dollar prices and accrued interest on municipal bonds is normally on

what calendar basis?



A.) 30/360

B.) 30/365

C.) Actual/360

D.) Actual/365 - ✔️✔️Correct-A.) 30/360

Which of the following security types provides investors with a stated maturity date, a

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

on a daily or weekly basis?



A.) Equity put option

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,TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
B.) Perpetual preferred stock

C.) Variable rate demand note

D.) Tax-deferred variable annuity - ✔️✔️Correct-C.) Variable rate demand note

Which of the following products is adversely impacted if the issuer's credit rating is

downgraded?



A.) Mutual funds

B.) Unit Investment Trusts (UITs)

C.) Exchange-traded funds (ETFs)

D.) Exchange-traded notes (ETNs) - ✔️✔️Correct-D.) Exchange-traded notes (ETNs)

Which of the following Form U4 reportable events results in a statutory disqualification?



A.) A personal bankruptcy filing

B.) A written customer complaint alleging misappropriation of assets

C.) A felony theft charge

D.) A felony conviction for driving under the influence (DUI) charge - ✔️✔️Correct-D.) A

felony conviction for driving under the influence (DUI) charge

Which of the following statements is true regarding a customer account held as tenants

in common?



A.) The owners must equally share the assets


2/29

, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
B.) The ownership of the decedent's assets is governed by their will or state law

C.) Tenants in common is permitted for use only for two individuals

D.) Tenants in common is permitted for use only for married couples or family members

- ✔️✔️Correct-B.) The ownership of the decedent's assets is governed by their will or

state law

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



A.) Profit limited and loss limited

B.) Profit limited and loss unlimited

C.) Profit unlimited and loss limited

D.) Profit unlimited and loss unlimited - ✔️✔️Correct-A.) Profit limited and loss limited

Which of the following statements is true about all U.S. government agency issues?



A.) They are exempt from federal taxes

B.) They are exempt from registration under the Securities Act of 1933.

C.) They are issued in the bearer form only

D.) They are general obligations of the federal government - ✔️✔️Correct-B.) They are

exempt from registration under the Securities Act of 1933.

Under industry regulations, an initial purchase of $3,000 of common stock in a margin

account requires a cash deposit of:




3/29

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