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Free FINRA SIE Exam Questions

Absolute Free SIE Exam Practice for Comprehensive Preparation 

  • FINRA SIE Exam Questions
  • Provided By: FINRA
  • Exam: Securities Industry Essentials (SIE)
  • Certification: FINRA Introductory-level
  • Total Questions: 86
  • Updated On: Jan 14, 2025
  • Rated: 4.9 |
  • Online Users: 172
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  • Question 1
    • Which of the following terms describes failure to honor a firm quote? 

      Answer: B
  • Question 2
    • Shares in a private investment in public equity (PIPE) offering are priced:

      Answer: B
  • Question 3
    • Company ABC stock currently trades on an exchange. An ABC insider wants to sell a large number of shares of her privately held ABC stock. ABC files the necessary paperwork to register the shares, but the insider decides to wait and sell the stock at a later date. Which of the following terms best describes the type of offering that is occurring in this situation? 

      Answer: D
  • Question 4
    • A customer buys 100 ABC at $50 and at the same time sells an ABC April 50 call at $8. At expiration, ABC must be at what market price for the customer to break even?

      Answer: A
  • Question 5
    • The formation of an asset-backed security or debt obligation that represents a claim on the cash flows from mortgage loans is known as:

      Answer: A
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