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FINRA General Securities Representative (SIE) Free Practice Questions

Getting ready for your FINRA General Securities Representative SIE exam can feel like a big hurdle, right? Don't worry, we've got your back! Jump into our completely free SIE practice questions - they're just like the real test, designed to help you get comfortable and pinpoint exactly what you need to study more. Let's get you feeling super confident for exam day!

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21. Which of the following statements concerning nonqualified deferred compensation plans is true?
22. A customer purchases 100 shares of stock on Thursday, August 2.
23. For which of the following account types will the partial ownership pass into an estate...
24. A customer purchased $80,000 of Fund XYZ two years ago.
25. Assume that the economy is operating at nearly full capacity.
26. Under which of the following circumstances, if any, is a registered representative (RR) permitted to...
27. Which of the following listed securities carries voting rights?
28. How does an individual acquire restricted stock?
29. Rising economic activity is most likely to increase revenues of which of the following sectors?
30. A retail investor owns shares of Mutual Fund ABC that paid a $0.
31. A customer holds 1,000 shares of Company XYZ and wants to sell covered calls against...
32. A market maker quotes the market on an NMS equity security as 39.
33. An investor is bullish on a particular stock for the long run, but he would...
34. An investor holds 1,000 shares of a stock with a total cost basis of $5,000...
35. Which of the following characteristics is true of open-end mutual fund shares?
36. Under which of the following circumstances, if any, is it permissible for an individual without...
37. Which of the following strategies is an investor most likely to employ using options contracts?
38. A hypothecation agreement gives the broker-dealer the right to engage in which of the following...
39. A registered representative wants to open an account for himself at a different financial institution.
40. Which of the following types of securities is an equity?

FINRA SIE Summary

  • Vendor: FINRA
  • Product: SIE
  • Update on: Oct 3, 2025
  • Questions: 164
  • Page: 2 / 3
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TESTED 03 Oct 2025