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FINRA SIE Exam Dumps - Actual Questions Answers

FINRA SIE Last Week Results!

10

Customers Passed
FINRA SIE

89%

Average Score In Real
Exam At Testing Centre

93%

Questions came word by
word from this dump

266

Total Questions
FINRA SIE Questions Answers

SIE Testimonials

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SIE Questions and Answers

Question # 1

Which of the following statements is true regarding the difference in treatment between common stock and preferred stock?

A.

Common stock and preferred stock are treated the same under a bankruptcy proceeding.

B.

Common stock and preferred stock are treated the same when it comes to payment of dividends.

C.

Common stock dividend payment is treated as a higher priority over that of preferred stock.

D.

Common stock is a lower priority compared to preferred stock under a bankruptcy proceeding.

Question # 2

In a rising interest rate environment, which of the following statements is true regarding the price of fixed-rate corporate bonds?

A.

Their price will remain constant.

B.

Their price will revert to par value.

C.

Their price will appreciate in value.

D.

Their price will depreciate in value.

Question # 3

Under FINRA rules, which of the following events will prevent an individual from being eligible to register with a member firm?

A.

Credit score below 500

B.

Previous bankruptcy filing

C.

False statements on their Form U4

D.

More than 10 customer complaints

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