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FINRA's SIE EXAM 1 QUESTIONS AND ANSWERS | 100% PASS
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FINRA's SIE EXAM 1 QUESTIONS AND ANSWERS | 100% PASS An associated person who is not a registered representative is permitted to engage in which of the following? - ️️ Correct-provide account opening forms to a new customer At issue, which of the following debt securities mature in one year...

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  • September 25, 2024
  • 6
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • finras sie exam 1 questions and answers 100 pa

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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024

FINRA's SIE EXAM 1 QUESTIONS AND
ANSWERS | 100% PASS


An associated person who is not a registered representative is permitted to engage in

which of the following? - ✔️✔️Correct-provide account opening forms to a new customer


At issue, which of the following debt securities mature in one year or less? - ✔️✔️Correct-

money market instruments

Direct participation programs provide - ✔️✔️Correct-exposure to non-correlated assets

with steady returns

When are treasury notes paid? - ✔️✔️Correct-semi annually

Which of the following statements is true about all U.S government agency issues? -

✔️✔️Correct-they are exempt from registration under the Securities Act of 1933

Under Rule 144A, an issuer of restricted stock is permitted to sell to which of the

following investors? - ✔️✔️Correct-qualified instituional buyers (QIBs)

What is the effect of a stock split? - ✔️✔️Correct-the price per share of common stock

decreases

Under the Securities Act of 1933, registration is required for which of the following

securities? - ✔️✔️Correct-American Depository Receipts (ADRs)

Blue sky laws are regulated by which entities? - ✔️✔️Correct-state securities regulators

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, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
The primary purpose of a syndicate desk in the context of an equity offering is to -

✔️✔️Correct-build an order book and allocate the stock

Which of the following considerations should a registered representative explain to a

customer when reccomending a 529 college savings plan? - ✔️✔️Correct-the potential

deductibility of contributions from state taxes

Which of the following products is adversely impacted if the issuers credit rating is

downgraded? - ✔️✔️Correct-exchange trade notes (ETNs)

A customer has a cash balance in her account together with long positions in several

securities. She has made no securities transactions in the account during the past 18

months. How often must the firm send her account statement? - ✔️✔️Correct-quarterly

If a market maker posts a quote of 10.00-10.10 [25x10], which of the following actions is

the market maker willing to take? - ✔️✔️Correct-buy 2,500 shares at 10.00 and sell 1,000

shares at 10.10

Which of the following actions is required of a broker-dealers anti money laundering

(AML) program? - ✔️✔️Correct-designating an AML compliance officer

Which of the following investments are generally traded according to their average life

rather than their stated maturity dates? - ✔️✔️Correct-asset-backed securities

A customer buys a 1 ABC Jan 35 put for a premium of $3 and simultaneously buys 100

shares of ABC stock for $35 per share. The customer will break even when the stock is

selling at what price per share at expiration? - ✔️✔️Correct-$38


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