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FINRA SIE Dumps

Exam Code:
SIE
Exam Name:
Securities Industry Essentials Exam (SIE)
Last Update: Nov 19, 2024
85 Questions with Explanation
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Securities Industry Essentials Exam (SIE) Questions and Answers

Questions 1

A registered representative who is terminated from a broker-dealer must notify FINRA of a residential address change for what period of time after termination?

Options:

A.

One year

B.

Two years

C.

Three years

D.

Six years

Questions 2

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

Options:

A.

Securitization

B.

Hypothecation

C.

Loan processing

D.

Claim processing

Questions 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?

Options:

A.

A rights offering

B.

A private offering

C.

An exempt offering

D.

A secondary offering

Next Question