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General Securities Representative Securities Industry Essentials Exam (SIE)

Securities Industry Essentials Exam (SIE)

Last Update Aug 19, 2025
Total Questions : 164

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Questions 2

Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities, which of the following conditions must be met?

Options:

The affiliate must have a holding period of six months.

The company must be traded on a listed stock exchange.

The issuer must notify FINRA of the proposed sale by submitting a Form 144.

The shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.

Discussion 0

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Questions 3

Which of the following statements is true of an index exchange-traded fund (ETF)?

Options:

It has a high portfolio turnover ratio.

It is priced once daily, generally at the market close.

It offers an opportunity to outperform the index it tracks.

Passive ETFs will typically have lower fees than those associated with actively managed ETFs.

Discussion 0

Questions 4

Which of the following statements is true of the comparison between penny stocks and blue-chip stocks?

Options:

Penny stocks are generally less liquid than blue-chip stocks.

Penny stocks are more likely to pay dividends than blue-chip stocks.

Penny stock prices are generally more stable than blue-chip stock prices.

Penny stock issuers are generally better capitalized than issuers of blue-chip stocks.

Discussion 0

Questions 5

Which of the following entities settles broker-to-broker equity, listed corporate and municipal bond, and unit investment trust (UIT) transactions in the U.S. equities markets?

Options:

SEC

FINRA

Federal Reserve

National Securities Clearing Corporation (NSCC)

Discussion 0

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