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Reference: https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam
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FINRA Securities Industry Essentials Exam (SIE) Sample Questions:
Which of the following entities issues certificates of deposit (CDs)?
- A. FDIC
- B. Broker-dealers
- C. Federal Reserve
- D. Banks
Correct Answer: D 🗳️
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A customer purchases $3,000 of XYZ, which settles today in a margin account. The customer has no other positions or balances. According to initial margin requirements, what is the amount of the required deposit?
- A. $1,500
- B. $2,500
- C. $3,000
- D. $2,000
Correct Answer: D 🗳️
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A customer wants to open an account to trade covered calls and puts. Which of the following communications must be provided to the customer prior to approving the account for trading?
- A. Margin disclosure statement
- B. Prospectus
- C. MSRB Investor Brochure
- D. Options disclosure document (ODD)
Correct Answer: D 🗳️
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A registered representative pleads guilty to an investment fraud scheme that occurred five years ago. Which of the following documents must be updated within 30 days of the guilty plea?
- A. Form U4
- B. Form U5
- C. An arbitration disclosure
- D. Written supervisory procedures (WSPs)
Correct Answer: A 🗳️
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Which of the following scenarios may cause a firm to consider placing a registered representative on heightened supervision?
- A. A recently obtained large home equity line of credit
- B. A felony arrest but no charge
- C. Placement of trades in a discretionary account without first consulting the customer
- D. A recent history of customer complaints
Correct Answer: D 🗳️
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