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FINRA Updated SIE Exam Questions and Answers by elara

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FINRA SIE Exam Overview :

Exam Name: Securities Industry Essentials Exam (SIE)
Exam Code: SIE Dumps
Vendor: FINRA Certification: General Securities Representative
Questions: 410 Q&A's Shared By: elara
Question 76

SEC regulations permit a company to issue securities exempted from registration requirements of the Securities Act of 1933 under which of the following conditions?

Options:

A.

Offerings sold inside of the U.S. to non-U.S. persons

B.

Offerings sold with no more than 40 accredited investors

C.

Offerings sold with an aggregate price exceeding $5 million

D.

Offerings with no more than 35 non-accredited investors and an unlimited number of accredited investors

Discussion
Question 77

Which of the following government securities is issued with a 90-day maturity?

Options:

A.

Treasury bill

B.

Treasury note

C.

Treasury bond

D.

Series EE bond

Discussion
Question 78

A common stock undergoes a 1-for-25 reverse stock split. Which of the following statements describes the impact of the issuer ' s market capitalization?

Options:

A.

It remains the same as it was prior to the split.

B.

It increases because the stock price increases.

C.

It increases because there are more shares outstanding.

D.

It decreases because there are fewer shares outstanding.

Discussion
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Question 79

Which of the following customers Is eligible to open an institutional account at a broker-dealer?

Options:

A.

An investment club with pooled assets totaling $1 million

B.

limited liability partnership with assets of $20 million

C.

corporation with assets totaling $25 million

D.

An Insurance company with assets of $45 million

Discussion
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