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SIE Practice Questions

Securities Industry Essentials Exam Exam Practice Test


Total 33 Pages
Total 164 Questions

SIE Practice Questions

Question# 1

Which of the following terms describes an offer to purchase some or all shareholders' shares in a corporation, usually at a premium to the market price?
Choose the Choices:


Question# 2

Which of the following statements best describes a characteristic of 529 savings plan accounts?
Choose the Choices:


Question# 3

Which of the following statements is true regarding the ownership of investment company shares held as tenants in common?
Choose the Choices:


Question# 4

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?
Choose the Choices:


Question# 5

According to FINRA rules, under which of the following circumstances, if any, is a member firm permitted to send gifts to a registered representative of another member firm?
Choose the Choices:


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