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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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  5. Securities Industry Essentials Exam (SIE) Practice Questions
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: Jan 2, 2026
  • Questions: 188
  • Page: 4 / 6
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TESTED 02 Jan 2026