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FINRA Securities Industry Essentials Exam (SIE) Sample Questions:

1. Which of the following statements best describes a characteristic of 529 savings plan accounts?

A) There are no contribution limits to the account.
B) The number of contributors to the account is limited.
C) Using funds for undergraduate or graduate studies is permissible.
D) Earnings are taxed to the donor at the time of a qualified withdrawal.

2. A registered representative (RR) intends to enter into an arrangement for compensation with an unaffiliated entity to participate in the sale of promissory notes to the general public. Which of the following statements is true?

A) The RR must receive written approval from his firm prior to entering into this arrangement.
B) This is a permissible arrangement, and the RR is only required to notify his firm.
C) The RR is not required to provide prior notice to his firm as promissory notes are not considered securities.
D) The RR is required to notify his firm regarding this arrangement if compensation received is directly related to transactions.

3. Which of the following strategies is best for mitigating the risk of a concentrated position?

A) Dollar-cost averaging
B) Dividend reinvestment
C) Use of leverage
D) Diversification

4. A customer owns 100 shares of ABC with a current market value of $5.00 per share. The company undergoes a 1-for-2 reverse split of the stock. Which of the following statements is true of the customer's holdings and the price of the stock?

A) The customer will have 1,000 shares at $0.50 per share.
B) The customer will have 50 shares at $10.00 per share.
C) The customer will have 100 shares at $5.00 per share.
D) The customer will have 200 shares at $2.50 per share.

5. The process in which the buying firm must pay for the securities and the selling firm must deliver the securities is known as:

A) A corporate action
B) Clearing the trade
C) The settlement of the transaction
D) A delivery versus payment (DVP) transaction

Solutions: