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Free FINRA SIE Exam Questions

Try our Free Demo Practice Tests for Comprehensive SIE Exam Preparation

  • FINRA SIE Exam Questions
  • Provided By: FINRA
  • Exam: Securities Industry Essentials (SIE)
  • Certification: FINRA Introductory-level
  • Total Questions: 166
  • Updated On: Apr 28, 2025
  • Rated: 4.9 |
  • Online Users: 332
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  • Question 1
    • The formation of an asset-backed security or debt obligation that represents a claim on the cash flows from mortgage loans is known as:

      Answer: A
  • Question 2
    • Which of the following statements is true regarding 529 savings plans?  

      Answer: D
  • Question 3
    • On settlement date, a customer is unable to pay for a purchase in his cash account. His position is liquidated. Which of the following statements is true according to Federal Reserve Regulation T?  

      Answer: C
  • Question 4
    • A registered representative (RR) at a member firm is the subject of a statutory disqualification. Which of the following statements is true? 

      Answer: B
  • Question 5
    • Assuming yields are held constant, which of the following statements describes what will occur as a discount bond reaches maturity? 

      Answer: A
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