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FINRA SIE Practice Test Questions and Answers | 100% Pass Upon Expiration, all in-the-money S&P 100 Index call options are settled by the delivery of which of the following? - ️️ Correct-Cash Which of the following statements is true about treasury stock? - ️️ Correct-It is issued stoc...

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  • September 25, 2024
  • 12
  • 2024/2025
  • Exam (elaborations)
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  • finra sie practice test 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 Test Questions and
Answers | 100% Pass


Upon Expiration, all in-the-money S&P 100 Index call options are settled by the delivery

of which of the following? - ✔️✔️Correct-Cash


Which of the following statements is true about treasury stock? - ✔️✔️Correct-It is issued

stock that has been subsequently reacquired by the corporation

In the event of a stock split, which of the following parties is required to maintain a

record of the shareholders eligible to receive the additional shares? - ✔️✔️Correct-

Transfer Agent

Which of the following actions is required of a broker-dealer's anti-money laundering

(AML) program? - ✔️✔️Correct-Designating an AML compliance officer

A registered representative (RR) wants to participate in a private securities transaction.

Which of the following actions must the RR take? - ✔️✔️Correct-Send written notice to

his supervisor outlining the activity and compensation structure

A customer BUYS a 1 ABC Jan 35 PUT for a premium of $3 and simultaneously buys

100 shares of ABC stock for $35 per share. The customer will break even when the

stock is selling at what price per share at expiration? - ✔️✔️Correct-$38




1/12

, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
The call provision of a bond stipulates which of the following factors? - ✔️✔️Correct-Call

date and call price

When is interest on Treasury notes paid? - ✔️✔️Correct-Semiannually

The owner of which of the following products is MOST exposed to inflationary risk? -

✔️✔️Correct-Treasury bonds (because it's long-term)

A registered representative (RR) who wants to place a mutual fund advertisement must

obtain written approval from which of the following parties? - ✔️✔️Correct-A registered

principal of the RR's firm

A company announces a tender offer to its shareholders with the intent to buy a

maximum of 1 million shares of its outstanding stock at $10 per share and sets no

minimum number of shares to be purchased. An investor wants to participate in this

offer and tenders his 1,000 share position. At the close of the offer period, only 900,000

shares have been tendered. How many, if any, of the investor's shares will the company

purchase? - ✔️✔️Correct-1,000 (1,000 x 100 = 100,000 shares; 1 million - 900k = 100k)

Broker-dealer ABC seeks to underwrite a municipal securities offering by a local town in

which the mayor is currently seeking re-election. A municipal finance professional who

resides in the town and works for ABC contributed $200 to the mayor's re-election

campaign 13 months ago. If the employee wants to support the campaign further

without impacting the municipal securities business of the firm, he is permitted to make

an additional contribution of up to what amount? - ✔️✔️Correct-$50 ($250 is the limit PER

election)
2/12

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