Registered persons must complete the regulatory element of their continuing education no later than:

Two years after their initial registration date

Three years after their initial registration date

Five years after their initial registration date

Front-running refers to the practice of:

Trading ahead of a customer’s block order

Trading ahead of research reports

Trading ahead of marketable customer orders

Trading ahead of a customer’s block order

At withdrawal, pre-tax contributions and earnings in a traditional IRA are:

Taxed at the investor’s ordinary income rate

Taxed at the investor’s long-term capital gains rate

Not taxed if the investor is at least 59½ years old

Of the following, which is the correct definition for open market operations?

When the Fed buys and sells U.S. treasury bonds on the secondary market

When the Fed buys and sells U.S. treasury bonds on the primary market

When the Fed buys and sells foreign bonds on the primary market

When the Fed buys and sells foreign bonds on the secondary market

Which of the following investors would be most subject to inflation risk?

Bill, whose portfolio is composed primarily of U.S. Treasury bonds

Steve, whose portfolio consists mainly of U.S. Treasury bills

Kim, whose portfolio is a mix of blue chip and small cap stocks

Sarah, 75% of whose portfolio consists of dividend-paying stocks

For a call option, the strike price is:

The price at which the call holder can buy the underlying security from the call writer

The price at which the call writer must buy the underlying securities from the call holder

The market value of the underlying security at which the option must be exercised

The breakeven point for the holder of the option

The price at which the call holder can buy the underlying security from the call writer

Limited liability means that a common shareholder:

Can never lose an amount in addition to his entire investment

Can never lose his entire investment

Can never lose an amount in addition to his entire investment

Is guaranteed to lose no less than a designated percentage of his investment

Cannot be charged any more than a designated amount in addition to his initial investment

SIE Sample Quiz

FINRA Investment Company Products/Variable Life Contracts Representative Exam

Number of Questions	10
Time Duration	Untimed
Answer Feedback Instant validation and rationale
Percentage required to pass	70%

Start Test

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