Expert Answers to FINRA Exam SIE Questions

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General Securities Representative Securities Industry Essentials Exam (SIE)

Securities Industry Essentials Exam (SIE)

Last Update Jan 30, 2026
Total Questions : 266

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Questions 2

Executing trades using the delivery versus payment (DVP) settlement process requires the buyer to make a cash payment by which of the following deadlines?

Options:

On the 5th business day after execution

Before or at the same time as securities being delivered

No later than 3 days after the securities are delivered

By the agreed-upon settlement date with the issuer

Discussion 0

Questions 3

When making a mutual fund recommendation to a customer, a registered representative must consider all of the following factors except:

Options:

the age of the customer.

the tax status of the customer.

the fund’s independent ranking

the investment objective of the fund.

Discussion 0

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Questions 4

Assume that the economy is operating at nearly full capacity. The initial results of an oversupply of money are most likely to have the greatest impact on which of the following macroeconomic factors?

Options:

Real output

Inflation rate

Velocity of money

Unemployment rate

Discussion 0

Questions 5

Which of the following securities has the greatest investment risk?

Options:

Blue chip stocks

Corporate bonds

Technology stocks