SIE Finra Exam 2026 Questions and
Answers
The redemption value of an open-ended investment company's shares is based on
the: - Correct answer-Net assest value computed afdter the order is recieved
An associated person who is not a registered representative is permitted to engage
in which of the following activities? - Correct answer-Provide account opening
forms to a new customer
A decline in the gross domestic product (GDP) must last for at least how many
quarters to be considered a recession? - Correct answer-2 quarters
When is interest on Treasury notes paid? - Correct answer-Semiannually
Which of the following communications with the public is considered misleading?
- Correct answer-Literature providing 10-year performance information to support
predictions of future performance
Which of the following stakeholders has first claim priority in a chapter 11
proceeding? - Correct answer-Secured debt holders
©COPYRIGHT 2025, ALL RIGHTS RESERVED 1
, The last transaction in xyz 5.50s 2030 was at 102. This bond is selling at: - Correct
answer-A premium
All of the following risks apply to both foreign and domestic debt instruments
except: - Correct answer-Exchange
Under FINRA rules, which of the following activities by a registered representative
require written notification to her firm? - Correct answer-Driving part time for a
transportation network company on weekends
Which of the following investment risks is the greatest risk in a variable life
insurance policy? - Correct answer-Market risk
Which of the following products is adversely impacted if the issuer's credit rating
is downgraded? - Correct answer-Exchange-traded notes (ETNs)
Which of the following forms U4 reportable events results in a statutory
disqualification? - Correct answer-A felony conviction for a driving under the
influence (DUI) charge
In the event of a stock split, which of the following parties is required to maintain a
record of the shareholders eligible to receive the additional shares? - Correct
answer-Transfer agent
©COPYRIGHT 2025, ALL RIGHTS RESERVED 2
Answers
The redemption value of an open-ended investment company's shares is based on
the: - Correct answer-Net assest value computed afdter the order is recieved
An associated person who is not a registered representative is permitted to engage
in which of the following activities? - Correct answer-Provide account opening
forms to a new customer
A decline in the gross domestic product (GDP) must last for at least how many
quarters to be considered a recession? - Correct answer-2 quarters
When is interest on Treasury notes paid? - Correct answer-Semiannually
Which of the following communications with the public is considered misleading?
- Correct answer-Literature providing 10-year performance information to support
predictions of future performance
Which of the following stakeholders has first claim priority in a chapter 11
proceeding? - Correct answer-Secured debt holders
©COPYRIGHT 2025, ALL RIGHTS RESERVED 1
, The last transaction in xyz 5.50s 2030 was at 102. This bond is selling at: - Correct
answer-A premium
All of the following risks apply to both foreign and domestic debt instruments
except: - Correct answer-Exchange
Under FINRA rules, which of the following activities by a registered representative
require written notification to her firm? - Correct answer-Driving part time for a
transportation network company on weekends
Which of the following investment risks is the greatest risk in a variable life
insurance policy? - Correct answer-Market risk
Which of the following products is adversely impacted if the issuer's credit rating
is downgraded? - Correct answer-Exchange-traded notes (ETNs)
Which of the following forms U4 reportable events results in a statutory
disqualification? - Correct answer-A felony conviction for a driving under the
influence (DUI) charge
In the event of a stock split, which of the following parties is required to maintain a
record of the shareholders eligible to receive the additional shares? - Correct
answer-Transfer agent
©COPYRIGHT 2025, ALL RIGHTS RESERVED 2
