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FINRA General Securities Representative (SIE) Free Practice Questions

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61. Which of the following entitles is primarily responsible for providing Internal settlement, accounting and tax...
62. Which of the following products is redeemable at net asset value (NAV)?
63. The cash value of a variable life insurance policy is affected by which of the...
64. Which of the following is the primary risk of using asset allocation models without periodic...
65. A customer retires at age 65 and rolls over his 401(k) of $850,000 In equities...
66. Which of the following characteristics best describes a benefit of a variable annuity subaccount?
67. An investor owns $10,000 par value of a municipal bond with the following rates:4.
68. A market maker displays the following ABC stock quote: 25.
69. An investor buys 100 shares of a stock at $50.
70. Which of the following statements is true regarding 529 savings plans?
71. A retail investor owns shares of Mutual Fund ABC that paid a $0.
72. A customer purchased 100 shares of Company XYZ common stock five years ago for $20.
73. Under SEC Regulation D, which of the following parties is considered an accredited investor?
74. A rating agency downgrades a corporation's credit rating.
75. Beta coefficient is a measure of:
76. Which of the following events requires reporting on a Form U4?
77. Which of the following statements describes a characteristic of Treasury securities?
78. A grandfather establishes a Uniform Transfers to Minors Act (UTMA) custodial account for his grandson...
79. Which of the following responses best describes how member firms are required to retain electronic...
80. A customer purchased $80,000 of Fund XYZ two years ago.
81. A summary prospectus for a mutual fund must contain which of the following information?
82. Which of the following statements is true regarding the ownership of investment company shares held...
83. The provision that allows a bond issuer to purchase bonds from customers prior to the...
84. Under the Investment Company Act of 1940, which of the following products are considered redeemable...
85. Under which of the following circumstances, if any, is a registered representative (RR) permitted to...
86. Which of the following types of securities is an equity?
87. Class A and Class C shares of a mutual fund differ in which of the...
88. At least how often Is a firm required to provide a customer with a statement...
89. A customer is unhappy about a $5,000 loss in a stock that the registered representative...
90. Which of the following responses best describes the primary strategy that an investor uses when...
91. Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities,...
92. A currency devaluation impacts a country's economic activity in which of the following ways?
93. A registered representative (RR) has a referral relationship with a family friend who is not...
94. A Treasury bill is issued under which of the following terms?
95. A company files a registration statement with the SEC to register a new Issue of...
96. The financial risk that a given security is not readily tradable in the market without...
97. An investor wants to purchase mutual fund shares, but she is concerned about the tax...
98. What is the maximum total contribution that Is permitted to be made per child within...
99. An individual investor has $300,000 in cash and $400,000 in securities held with a financially...
100. Which of the following account registration types is subject to probate upon the death of...
101. A customer buys 100 ABC at $50 and at the same time sells an ABC...
102. Which of the following statements is true with regard to SIPC and FDIC?
103. A registered representative who is terminated from a broker-dealer must notify FINRA of a residential...
104. Which of the following agencies publishes the list used by broker-dealers to verify that customers...
105. Under SEC Regulation A, which of the following market participants, if deemed to be a...
106. A customer owns 100 shares of ABC with a current market value of $5.
107. Which of the following responses describes a collateralized mortgage obligation (CMO) tranche?
108. A customer purchases 100 shares of stock on Thursday, August 2.
109. Class A and Class C shares of a mutual fund differ in which of the...
110. When is it permissible to exercise European-style options contracts?
111. Which of the following entities issues certificates of deposit (CDs)?
112. A customer will be out of the country for the next two months on business...
113. Beta coefficient is a measure of:
114. Which of the following activities is a responsibility of a mutual fund transfer agent?
115. Under the Investment Company Act of 1940, which of the following products are considered redeemable...
116. Publicly traded limited partnership interests are typically considered:
117. Under SEC Regulation D, which of the following parties is considered an accredited investor?
118. Which of the following securities receives the highest priority in case of a bankruptcy?
119. Which of the following is considered nonpublic information?
120. A registered representative (RR) wants to recommend a mortgage-backed security to his customer.

FINRA SIE Summary

  • Vendor: FINRA
  • Product: SIE
  • Update on: May 20, 2026
  • Questions: 408
  • Page: 2 / 7
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