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General Securities Representative Securities Industry Essentials Exam (SIE)

Securities Industry Essentials Exam (SIE)

Last Update Feb 7, 2026
Total Questions : 266

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Questions 2

The Options Clearing Corporation (OCC) is a registered clearing agency for which of the following products?

Options:

Listed stocks

Over-the-counter bonds

Exchange-traded funds (ETFs)

Long-term Equity Anticipation Securities (LEAPS)

Discussion 0

Questions 3

The provision that allows a bond issuer to purchase bonds from customers prior to the maturity date on the bond is known as a:

Options:

Put

Call

Conversion

Defeasement

Discussion 0

Questions 4

A broker-dealer (BD) creates a marketing postcard that includes a statement regarding FINRA's endorsement of the BD. Which of the following responses is true?

Options:

The statement regarding FINRA's endorsement is not permissible.

The statement is permissible if a principal of the BD approves it in writing prior to use.

The statement is permissible if the statement is approved in writing by FINRA prior to use.

The statement is permissible if the postcard does not discuss specific investment opportunities.

Discussion 0

Questions 5

How does an individual acquire restricted stock?

Options:

By participating in an SEC Regulation D offering

By participating in an initial public offering (IPO)

By exercising publicly traded warrants

By exercising an option for exchange-traded calls

Discussion 0

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