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Exam Name:	Securities Industry Essentials Exam (SIE)
Exam Code:	SIE Dumps
Vendor:	FINRA	Certification:	General Securities Representative
Questions:	188 Q&A's	Shared By:	inaaya

Question 12

The Options Clearing Corporation (OCC) is a registered clearing agency for which of the following products?

Options:

Listed stocks

Over-the-counter bonds

Exchange-traded funds (ETFs)

Long-term Equity Anticipation Securities (LEAPS)

Discussion

Question 13

A broker-dealer (BD) is underwriting an initial public offering (IPO). According to industry rules, which of the following customers is eligible to participate in the IPO?

Options:

An unregistered sales assistant employed by the BD

The BD's branch office manager's unemployed spouse

A customer of the BD who is the president of a local bank

The chief financial officer of a fast-food chain, whose brother is a registered representative employed by the BD

Discussion

Question 14

A customer is unhappy about a $5,000 loss in a stock that the registered representative (RR) recommended and threatens to call FINRA's Securities Helpline for Seniors about the matter. What is the most appropriate next step for the RR to take?

Options:

The RR should notify their supervisor about the customer's dissatisfaction.

The RR is permitted to reimburse the customer for the loss to resolve the customer's complaint.

The RR should alert their compliance department to update their Form U4 with the complaint details.

The RR should call FINRA's Securities Helpline for Seniors before the customer does and explain their side of the story.

Discussion

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Question 15

Which of the following is a reportable obligation with respect to an individual's Form U4?

Options:

A speeding ticket