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General Securities Representative Securities Industry Essentials Exam (SIE)

Securities Industry Essentials Exam (SIE)

Last Update Sep 25, 2026
Total Questions : 410

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Questions 2

A customer deposits an $8,000 cashier ' s check in their account. Later the same day, they deposit a $2,500 money order. Which of the following actions, if any, must the firm take in response to this activity?

Options:

No filing required

File Form W-9 with the IRS

File a Suspicious Activity Report (SAR)

File a Currency Transaction Report (CTR)

Discussion 0

Questions 3

The process in which the buying firm must pay for the securities and the selling firm must deliver the securities is known as:

Options:

A corporate action

Clearing the trade

The settlement of the transaction

A delivery versus payment (DVP) transaction

Discussion 0

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Questions 4

Which of the following is the term for a filing for a distribution of securities in which the issuer has up to three years after the effective date of registration to sell the securities?

Options:

Shelf registration

Primary offering

Standby underwriting

Preliminary registration

Discussion 0

Questions 5

A customer purchased 100 shares of Company XYZ stock for $10 per share. The stock paid an annual cash dividend of $1 per share. The customer sells his 100 shares three years later for $15 per share. Which of the following amounts is the total pretax return on his investment?

Options:

$300

$500

$800

$1,800

Discussion 0

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