FINRA SIE practice materials Questions Answers

Exam Code:
SIE
Exam Name:
Securities Industry Essentials Exam
Last Update:
Jun 01,2026

164 Questions Answers Verified by Experts!


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FINRA SIE Questions for Securities Industry Essentials Certification Exam 2026

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Page: 1 / 33
Total Questions: 164

Questions & Answers PDF

• Question 1

  

  When is a newly registered person subject to the Continuing Education Regulatory Element requirement?

  • The calendar year following initial registration
  • On the anniversary date of initial registration
  • Every three years after the date of registration
  • Every five years

  Reveal Answer Answer: B Next Question

• Question 2

  

  If an investor is bullish on ABC, which of the following actions will he most likely take?

  • Buy ABC puts
  • Buy ABC stock
  • Sell ABC calls
  • Sell ABC stock short

  Reveal Answer Answer: B Next Question

• Question 3

  

  A market maker quotes the market on an NMS equity security as 39.05 - 39.15 [5x10]. Which of the following orders is the market maker required to fill?

  • A sell stop order for 500 shares at $39.00
  • A sell order for 300 shares at $39.05
  • A buy order for 1,000 shares at $39.10
  • A buy order for 2,000 shares at $39.15

  Reveal Answer Answer: D Next Question

• Question 4

  

  Which of the following statements is true of the writer of a listed equity call option?

  • They have the right to sell stock at a fixed strike price.
  • They have the right to buy stock at a fixed strike price.
  • They have the obligation to sell stock at a fixed strike price.
  • They have the obligation to buy stock at a fixed strike price.

  Reveal Answer Answer: C Next Question

• Question 5

  

  A registered representative (RR) opens a new account for a customer whose investment objectives are growth and income. She makes an initial deposit of $5,500 using a series of money orders drawnfrom different sources, and she makes no investments for the first 30 days the account is open. At the end of that time, the customer asks to have the funds wired to an account at a different firm as her needs have changed. The RR's first course of action should be to:

  • Deny the request.
  • Freeze the account.
  • Report internally as a suspicious activity.
  • Accept the instructions and wire the funds.

  Reveal Answer Answer: C Next Question

• Question 6

  

  Pursuant to the Securities Act of 1933, registration is required for which of the following securities?

  • Private placements
  • Municipal securities
  • U.S. government issues
  • Open-end investment companies

  Reveal Answer Answer: D Next Question

• Question 7

  

  The cash value of a variable life insurance policy is affected by which of the following factors?

  • Changes in the beneficiary
  • Changes in the death benefit
  • Fluctuating market conditions
  • Contingent deferred sales charges

  Reveal Answer Answer: C Next Question

• Question 8

  

  A customer holds 1,000 shares of Company XYZ and wants to sell covered calls against this position. What is the maximum number of contracts that the customer could sell and still remain covered?

  • 5 contracts
  • 10 contracts
  • 100 contracts
  • 1,000 contracts

  Reveal Answer Answer: B Next Question

• Question 9

  

  Which of the following disclosures is a municipal securities dealer required to provide its customers once every calendar year?

  • The firm's address
  • The firm's financial standing
  • FINRA violations of all registered representatives
  • The location and availability of the MSRB investor brochure

  Reveal Answer Answer: D Next Question

• Question 10

  

  A real estate investment trust (REIT) is required to invest what percentage of total assets in real- estate-related assets to maintain favorable tax treatment?

  • At least 50% of total assets
  • At least 75% of total assets
  • At least 90% of total assets
  • 100% of assets

  Reveal Answer Answer: B Next Question

Page: 1 / 33
Total Questions: 164

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