FINRA Website SIE Practice Exam Questions_ Answered 100% Correct. | 2025 LATEST UPDATED

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