Securities Industry Essentials Exam (SIE)
Last Update Oct 15, 2025
Total Questions : 164
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Which of the following responses describes a common feature of a hedge fund?
Trades that settle within the period preset by regulators of the particular market are considered to have which of the following types of settlement?
Rising economic activity is most likely to increase revenues of which of the following sectors?
Which of the following responses describes a collateralized mortgage obligation (CMO) tranche?
Which of the following statements is true about a corporation's balance sheet?
When the index level and strike price of a listed index option are the same, the option is:
Which of the following responses accurately describes a secondary market transaction?
A grandfather establishes a Uniform Transfers to Minors Act (UTMA) custodial account for his grandson and appoints an attorney as custodian. Which of the following individuals owns the account?
A broker-dealer (BD) is underwriting an initial public offering (IPO). According to industry rules, which of the following customers is eligible to participate in the IPO?
Executing trades using the delivery versus payment (DVP) settlement process requires the buyer to make a cash payment by which of the following deadlines?
An investor who lives on a fixed income and is concerned about inflation is most exposed to which of the following risks?
A customer buys 100 ABC at $50 and at the same time sells an ABC April 50 call at $8. At expiration, ABC must be at what market price for the customer to break even?
The process in which the buying firm must pay for the securities and the selling firm must deliver the securities is known as:
Which of the following terms describes an offer to purchase some or all shareholders' shares in a corporation, usually at a premium to the market price?
Under the Investment Company Act of 1940, which of the following products are considered redeemable securities?
In a rising interest rate environment, which of the following statements is true regarding the price of fixed-rate corporate bonds?
Which of the following rates is the interest rate at which banks borrow and lend to each other on an overnight basis?
The financial risk that a given security is not readily tradable in the market without impacting the market price is known as:
Which of the following strategies is an investor most likely to employ using options contracts?
A bond with a par value of $1,000 that is backed by the taxing power of a local government is known as:
Under which of the following circumstances, if any, is it permissible for an individual without a Power of Attorney (POA) to sign a customer's name on their behalf?
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?
For up to how many business days is a firm initially permitted to place a temporary hold on disbursements for a specified adult account in which the firm reasonably believes financial exploitation has occurred?
An investor sells shares of a closed-end fund at the market. Which of the following responses best describes the net proceeds to be received?
Assuming yields are held constant, which of the following statements describes what will occur as a discount bond reaches maturity?
Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities, which of the following conditions must be met?
Under SEC Regulation A, which of the following market participants, if deemed to be a bad actor, will disqualify the offering from reliance on this registration exemption?
Which of the following entities settles broker-to-broker equity, listed corporate and municipal bond, and unit investment trust (UIT) transactions in the U.S. equities markets?
Which of the following statements describes a characteristic of Treasury securities?
Company ABC stock currently trades on an exchange. An ABC insider wants to sell a large number of shares of her privately held ABC stock. ABC files the necessary paperwork to register the shares, but the insider decides to wait and sell the stock at a later date. Which of the following terms best describes the type of offering that is occurring in this situation?
Which of the following statements is true of the comparison between penny stocks and blue-chip stocks?
Assume that the economy is operating at nearly full capacity. The initial results of an oversupply of money are most likely to have the greatest impact on which of the following macroeconomic factors?
Which of the following statements concerning nonqualified deferred compensation plans is true?
A hypothecation agreement gives the broker-dealer the right to engage in which of the following activities?
When is a newly registered person subject to the Continuing Education Regulatory Element requirement?
A retail investor owns shares of Mutual Fund ABC that paid a $0.25 dividend on September 1 and closed at $10.00. What is the opening price once this fund trades on the ex-dividend date?
An investor holds 1,000 shares of a stock with a total cost basis of $5,000 in his account when a 1-for-5 reverse stock split is announced. What will be the investor's total cost basis after the payable date of the reverse split?
Which of the following products is the most appropriate class of investments for a customer looking for income and capital gains?
An investor wants to purchase mutual fund shares, but she is concerned about the tax efficiency of the fund. Which of the following disclosures required under industry regulations will help the investor make an informed decision?
TESTED 15 Oct 2025
