age 1 of 53
FINRA SIE FINAL TEST 2025/2026 COMPLETE EXAM
QUESTIONS WITH CORRECT DETAILED ANSWERS ||
100% GUARANTEED PASS <LATEST VERSION>
The primary purpose of a syndicate desk in the context of an
equity offering is to:
A. determine the list of selling shareholders
B. build an order book and allocate the stock
C. solicit interest from investors in the stock offering
D. chaperone company management during the road show
.......Answer.........B
In a period of low inflation and economic recession, the Federal
Reserve is expected to take which of the following actions?
,age 2 of 53
A. decrease taxes
B. raise the federal funds rate
C. buy bonds in the open market
D. require banks to increase reserves .......Answer.........C
Which of the following communications with the public is
considered misleading?
A. historical illustrations based on factual performance
B. product comparisons that illustrate material differences
C. a research report that includes a buy recommendation for a
specific security
D. literature providing 10-year performance information to
support predictions of future performance .......Answer.........D
,age 3 of 53
Under the Securities Act of 1933, registration is required for
which of the following securities?
A. eurodollar bonds
B. municipal securities
C. American depositary receipts (adrs)
D. securities issued by the federal government .......Answer.........C
A savings account at a bank is guaranteed by which of the
following entities?
A. FDIC
B. SIPC
C. Federal Reserve
D. Department of Treasury .......Answer.........A
, age 4 of 53
To offer its shareholders a privilege to obtain its shares at a
fixed price, which of the following products does a corporate
issue?
A. puts
B. rights
C. futures
D. preferred stock .......Answer.........B
A registered representative (RR) wants to participate in a
private securities transaction. Which of the following actions must
the RR take?
FINRA SIE FINAL TEST 2025/2026 COMPLETE EXAM
QUESTIONS WITH CORRECT DETAILED ANSWERS ||
100% GUARANTEED PASS <LATEST VERSION>
The primary purpose of a syndicate desk in the context of an
equity offering is to:
A. determine the list of selling shareholders
B. build an order book and allocate the stock
C. solicit interest from investors in the stock offering
D. chaperone company management during the road show
.......Answer.........B
In a period of low inflation and economic recession, the Federal
Reserve is expected to take which of the following actions?
,age 2 of 53
A. decrease taxes
B. raise the federal funds rate
C. buy bonds in the open market
D. require banks to increase reserves .......Answer.........C
Which of the following communications with the public is
considered misleading?
A. historical illustrations based on factual performance
B. product comparisons that illustrate material differences
C. a research report that includes a buy recommendation for a
specific security
D. literature providing 10-year performance information to
support predictions of future performance .......Answer.........D
,age 3 of 53
Under the Securities Act of 1933, registration is required for
which of the following securities?
A. eurodollar bonds
B. municipal securities
C. American depositary receipts (adrs)
D. securities issued by the federal government .......Answer.........C
A savings account at a bank is guaranteed by which of the
following entities?
A. FDIC
B. SIPC
C. Federal Reserve
D. Department of Treasury .......Answer.........A
, age 4 of 53
To offer its shareholders a privilege to obtain its shares at a
fixed price, which of the following products does a corporate
issue?
A. puts
B. rights
C. futures
D. preferred stock .......Answer.........B
A registered representative (RR) wants to participate in a
private securities transaction. Which of the following actions must
the RR take?
