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FINRA SIE Exam Dumps - Actual Questions Answers

FINRA SIE Last Week Results!

10

Customers Passed
FINRA SIE

92%

Average Score In Real
Exam At Testing Centre

95%

Questions came word by
word from this dump

85

Total Questions
FINRA SIE Questions Answers

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SIE Questions and Answers

Question # 1

A registered representative (RR) intends to enter into an arrangement for compensation with an unaffiliated entity to participate in the sale of promissory notes to the general public. Which of the following statements is true?

A.

This is a permissible arrangement, and the RR is only required to notify his firm.

B.

The RR must receive written approval from his firm prior to entering into this arrangement.

C.

The RR is required to notify his firm regarding this arrangement if compensation received is directly related to transactions.

D.

The RR is not required to provide prior notice to his firm as promissory notes are not considered securities.

Question # 2

A registered representative who is terminated from a broker-dealer must notify FINRA of a residential address change for what period of time after termination?

A.

One year

B.

Two years

C.

Three years

D.

Six years

Question # 3

Under FINRA rules, which of the following activities is not considered an outside business activity (OBA)?

A.

Selling real estate

B.

Selling health insurance

C.

Professionally refereeing athletic events

D.

Passively investing in a multifamily house for rental purposes

FINRA Related Exam in MyExamCollection

The followings list FINRA Related in MyExamCollection, If you have other FINRA certifications you want added please contact us.

  • Series-6 Exam
    Investment Company and Variable Contracts Products Representative Qualification Examination (IR)
  • Series-63 Exam
    Uniform Securities State Law Examination