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FINRA Securities Industry Essentials Exam (SIE) - SIE Exam Practice Test

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Total 412 questions

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Question 1

What is the sales load of an open-end investment company with a net asset value (NAV) of $14.35 and a public offering price (POP) of $15.50?

A. 9.25% B. 8.00% C. 7.40% D. 8.50%

Correct Answer: D

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Question 2

Executing trades using the delivery versus payment (DVP) settlement process requires the buyer to make a cash payment by which of the following deadlines?

A. Before or at the same time as securities being delivered B. On the 5th business day after execution C. By the agreed-upon settlement date with the issuer D. No later than 3 days after the securities are delivered

Correct Answer: A

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Question 3

Which of the following statements is true of the writer of a listed equity call option?

A. Potential gains are unlimited, and potential losses are unlimited. B. Potential gains are unlimited, and potential losses are limited. C. Potential gains are limited, and potential losses are unlimited. D. Potential gains are limited, and potential losses are limited.

Correct Answer: C

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Question 4

Which of the following rates is the interest rate at which banks borrow and lend to each other on an overnight basis?

A. Discount rate B. Federal funds rate C. LIBOR D. Prime rate

Correct Answer: B

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Question 5

Which of the following responses describes a warrant?

A. A fixed-income security issued by a state or municipality B. Redemption rights for a debt instrument C. An interest-paying security D. The right to purchase a specified amount of shares

Correct Answer: D

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Question 6

A privacy policy opt-out direction provided by a customer is valid:

A. for one year. B. as long as the account has a balance. C. until the customer rescinds direction. D. until the account is closed.

Correct Answer: C

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Question 7

Which of the following statements is a characteristic of a government bond fund?

A. Government bond funds are diversified. B. The value of the fund is not guaranteed by the government or any federal agency. C. If interest rates fall, the net asset value (NAV) of the fund will likely drop as well. D. Dividend/interest payments will be the same each month.

Correct Answer: B

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Question 8

A customer purchases $3,000 of XYZ, which settles today in a margin account. The customer has no other positions or balances. According to initial margin requirements, what is the amount of the required deposit?

A. $2,500 B. $2,000 C. $1,500 D. $3,000

Correct Answer: B

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Question 9

Which of the following responses describes a new offering of securities that is exempt from registration under SEC Regulation D?

A. An offering of more than $10 million B. An offering in which purchasers are permitted to sell the securities without restrictions C. An offering to no more than 35 nonaccredited investors D. An offering made only to existing shareholders

Correct Answer: C

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Question 10

A municipal bond is quoted at 102-7/8. What amount should an investor expect to pay for 100 of these bonds?

A. $102,875.00 B. $10,278.00 C. $102,780.00 D. $10,287.50

Correct Answer: A

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Question 11

In a rising interest rate environment, which of the following statements is true regarding the price of fixed-rate corporate bonds?

A. Their price will revert to par value. B. Their price will appreciate in value. C. Their price will remain constant. D. Their price will depreciate in value.

Correct Answer: D

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Question 12

A registered representative (RR) receives a mutual fund order from a customer at 4:10 p.m. ET. Which of the following statements is true regarding this order?

A. It is not permitted to be accepted as it was received after the market close. B. It must be executed at the next day's opening price. C. It must be accepted as an " as/of " trade for today ' s price. D. It must be executed at the next closing price.

Correct Answer: D

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Page: 1 / 35
Total 412 questions

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