FINRA Website SIE Practice Exam Questions_ Answered 100% Correct. |
2025 LATEST UPDATED
Blue sky laws are regulated by what entities? - (answers)State Securities Regulator
Under Federal Reserve Regulation T, a 90-day restriction is imposed when a customer opens and
closes which of the following positions?
A) The same stock on the same day in a margin account
吗？还是指某个特定的词或概念
B) The same stock in different accounts on the same day
？
C) The same stock in a cash account without paying for the stock in full? - (answers)C) The
same stock in a cash account without paying for stock in full
Under Rule 144A, an investor of restricted stock is permitted to sell which kind of Investor? -
(answers)Qualified Institutional Buyers
Under FINRA Rules do you have to notify your firm if you pick up a part time job outside the
industry like a truck driver position? - (answers)Yes
Roth 401k and Roth IRA plans share what similiarity - (answers)Qualified distributions meaning
once requirements are met then your distribution become qualified and exempt from federal
income tax
2025 LATEST UPDATED
Blue sky laws are regulated by what entities? - (answers)State Securities Regulator
Under Federal Reserve Regulation T, a 90-day restriction is imposed when a customer opens and
closes which of the following positions?
A) The same stock on the same day in a margin account
吗？还是指某个特定的词或概念
B) The same stock in different accounts on the same day
？
C) The same stock in a cash account without paying for the stock in full? - (answers)C) The
same stock in a cash account without paying for stock in full
Under Rule 144A, an investor of restricted stock is permitted to sell which kind of Investor? -
(answers)Qualified Institutional Buyers
Under FINRA Rules do you have to notify your firm if you pick up a part time job outside the
industry like a truck driver position? - (answers)Yes
Roth 401k and Roth IRA plans share what similiarity - (answers)Qualified distributions meaning
once requirements are met then your distribution become qualified and exempt from federal
income tax
