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SIE practice test questions answers

FINRA SIE Exam Dumps - Actual Questions Answers


SIE practice test questions answers

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FINRA SIE Last Week Results!

10

Customers Passed
FINRA SIE

88%

Average Score In Real
Exam At Testing Centre

85%

Questions came word by
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SIE Questions and Answers

Question # 1

A broker-dealer (BD) creates a marketing postcard that includes a statement regarding FINRA's endorsement of the BD. Which of the following responses is true?

A.

The statement regarding FINRA's endorsement is not permissible.

B.

The statement is permissible if a principal of the BD approves it in writing prior to use.

C.

The statement is permissible if the statement is approved in writing by FINRA prior to use.

D.

The statement is permissible if the postcard does not discuss specific investment opportunities.

Question # 2

A municipal securities dealer makes a political contribution of $990 to a local mayoral candidate. At the end of the quarter, to whom, if anyone, must the dealer report the contribution?

A.

SEC

B.

MSRB

C.

FINRA

D.

No disclosure required as the amount is below the reporting threshold

Question # 3

When is a newly registered person subject to the Continuing Education Regulatory Element requirement?

A.

The calendar year following initial registration

B.

On the anniversary date of initial registration

C.

Every three years after the date of registration

D.

Every five years

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