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FINRA Website SIE Practice Exam Questions with Correct Answers 100% Pass
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FINRA Website SIE Practice Exam Questions with Correct Answers 100% Pass Under the Securities act of 1933, registration is required for which of the following securities? A. Eurodollar bonds B. Municipal securities C. American Depositary Receipts (ADRs) D. Securities issued by the federal ...

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  • September 25, 2024
  • 8
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • finra website sie practice exam questions with cor

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

FINRA Website SIE Practice Exam
Questions with Correct Answers \ 100%
Pass


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

securities?




A. Eurodollar bonds

B. Municipal securities

C. American Depositary Receipts (ADRs)

D. Securities issued by the federal government - ✔️✔️Correct-C. American Depositary

Receipts

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

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

obtain written approval from which of the following parties?

1/8

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



A. FINRA

B. Each State's securities administrator

C. A registered principal of the RR's firm

D. The investment management division of the appropriate regional SEC office -

✔️✔️Correct-C. A registered principal of the RR's firm

An investor owns 100 shares of XYZ common stock at the current market price of $50

per share. If XYZ conducts a 1-for-2 reverse stock split, the investor's post-split stock

position will be:



A. 50 shares at $25 per share

B. 50 shares at $100 per share

C. 200 shares at $25 per share

D. 200 shares at $100 per share - ✔️✔️Correct-B. 50 shares at $100 per share

A firm is a participant in a public offering. To sell a substantial amount of the securities

to its customers, the firm agrees to repurchase the shares at no less than the original

cales price. Such agreements are:



A. Prohibited as fraudulent and manipulative

B. Permissible if the securities are deposite into escrow

C. Prohibited unless the firm immediately sets aside funds for the repurchase


2/8

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