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General Securities Representative Securities Industry Essentials Exam (SIE)

Securities Industry Essentials Exam (SIE)

Last Update Apr 9, 2026
Total Questions : 332

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Questions 2

A registered representative (RR) at a member firm is the subject of a statutory disqualification. Which of the following statements is true?

Options:

The RR is prohibited from soliciting business but is permitted to accept unsolicited orders.

The RR is prohibited from any association or employment with a member firm unless he obtains a waiver.

The RR is prohibited from employment by a member firm in any registered capacity but is permitted to be employed in an unregistered capacity.

A statutory disqualification, although reportable to CRD, does not affect employment in the securities industry.

Discussion 0

Questions 3

A customer instructs his registered representative (RR) to purchase $35,000 Class A shares of Growth Fund ABC. As the RR enters the order, she overhears her customer speaking to his wife about purchasing $100,000 of Emerging Markets Fund ABC once he gets his year-end bonus. Which of the following statements is true about receiving a breakpoint discount for the current purchase?

Options:

It is available due to right of accumulation.

It is available if the customer signs a letter of intent.

It is not available as the purchase amount is less than the $50,000 initial breakpoint level.

It is not available as the customer has not made the $100,000 Emerging Markets Fund purchase.

Discussion 0

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Questions 4

A broker-dealer (BD) is considering employing a nonregistered person to assist its sales staff in servicing customers. Which of the following activities are nonregistered persons permitted to perform?

Options:

Taking unsolicited orders from customers

Assisting sales staff in tracing and tabulating commissions

Contacting current customers to determine if they are satisfied with their existing investments

Contacting prospective investors to discuss a BD educational seminar regarding the BD’s proprietary mutual fund

Discussion 0

Questions 5

A registered representative (RR) reads an article online about a thinly traded security that the RR believes has a high likelihood of rapid growth and price appreciation. The RR purchases shares of the security in their own account and recommends to a number of high net worth customers that they purchase shares as well. After the RR ' s customers make several purchases of the security, the price appreciates, as the RR expected. The RR liquidates their position for a profit and subsequently recommends to customers that they do the same thing. Which of the following statements is true regarding this scenario?

Options:

This is a deceptive practice that violates FINRA conduct rules.

This is an acceptable practice if the customers ' profits were equal to or greater than the RR ' s.

The RR ' s recommendations are appropriate as the customers are all high net worth individuals.

The RR violated FINRA rules that state RRs are only permitted to accept unsolicited orders for thinly traded securities.

Discussion 0

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