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FINRA Securities Industry Essentials Exam (SIE) Sample Questions:

1. A customer purchases 100 shares of stock on Thursday, August 2. This transaction must settle regular way no later than:

A) Wednesday, August 8
B) Monday, August 6
C) Friday, August 3
D) Tuesday, August 7

2. A customer will be out of the country for the next two months on business and asks his firm to hold his mail until he returns. Which of the following statements is true regarding this request?

A) At the discretion of the RR, the firm is permitted to hold the customer's mail provided it takes reasonable actions to ensure no tampering occurs with this mail.
B) The firm is permitted to hold the mail as long as the registered representative (RR) complies with the customer's oral instructions.
C) The firm must receive written instructions from the customer that include the time period for the requested mail hold.
D) The firm is prohibited from holding the customer's mail under FINRA rules due to the personal information contained.

3. The formation of an asset-backed security or debt obligation that represents a claim on the cash flows from mortgage loans is known as:

A) Hypothecation
B) Claim processing
C) Loan processing
D) Securitization

4. Which of the following statements best describes the permissibility of a borrowing arrangement between a registered representative (RR) and a customer who is also the RR's grandfather?

A) It is permissible subject to FINRA approval.
B) It is permissible if the grandfather agrees in writing.
C) It is permissible if the loan was made on commercially reasonable terms.
D) It is permissible provided that the loan was made in accordance with the firm's policies.

5. Executing trades using the delivery versus payment (DVP) settlement process requires the buyer to make a cash payment by which of the following deadlines?

A) On the 5th business day after execution
B) Before or at the same time as securities being delivered
C) By the agreed-upon settlement date with the issuer
D) No later than 3 days after the securities are delivered

Solutions: