Finra sie exam Study guides, Class notes & Summaries

QUESTIONS AND ANSWERS

FINRA SIE Exam | 68 Actual Questions and Answers 100% Correct

FINRA SIE EXAM 2023/2024 QUESTIONS AND ANSWERS GRADED A+

FINRA SIE EXAM 2024 WITH 100% ACCURATE SOLUTIONS Which stakeholder has first claim priority in a Chapter 11 proceeding? - correct answer Secured Debt Holders What is a firm required to do when receiving cash in excess of $10,000 from one customer in one business day? - correct answer File a Currency Transaction Report If a registered representative drives UBER part time, what is required? - correct answer They must provide written notification to the firm as mandated by FINRA. A cu...

When is interest on Treasury notes paid? A.) Quarterly B.) Semiannually C.) Annually D.) At maturity : 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 : A.) 30/360 2 | P a g e 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 intermedia...

FINRA SIE OUTLINE EXAM STUDY QUESTIONS AND ANSWERS GRADED A+

In a period of low inflation and economic recession, the Federal Reserve is expected to take which of the following actions? A) Decrease Taxes B) Require banks to increase reserve C) Buy bonds in the open market : Buy bonds in the open market Under FINRA rules which of the following activities by a registered representative requires written notification to her firm? A) Gambling resulting in winnings in excess of $10,000 B) Driving part time for a transportation network company on w...

FINRA SIE EXAM TEST QUESTIONS AND ANSWERS GRADED A+

FINRA SIE PRACTICE EXAM QUESTIONS AND ANSWERS GRADED A+

The primary purpose of a syndicate desk in the context of an equity offering is to: A. determine the list of selling shareholders B. build an order book and allocate the stock C. solicit interest from investors in the stock offering D. chaperone company management during the road show : B In a period of low inflation and economic recession, the Federal Reserve is expected to take which of the following actions? A. decrease taxes B. raise the federal funds rate C. buy bonds in the open...