100% PASS QUIZ 2025 FINRA AUTHORITATIVE RELIABLE SIE BRAINDUMPS PDF

100% Pass Quiz 2025 FINRA Authoritative Reliable SIE Braindumps Pdf

100% Pass Quiz 2025 FINRA Authoritative Reliable SIE Braindumps Pdf

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q12-Q17):

NEW QUESTION # 12
Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities, which of the following conditions must be met?

  • A. The affiliate must have a holding period of six months.
  • B. The shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.
  • C. The company must be traded on a listed stock exchange.
  • D. The issuer must notify FINRA of the proposed sale by submitting a Form 144.

Answer: A

Explanation:
Step by Step Explanation:
* Rule 144 Holding Period: Restricted securities held by affiliates require a six-month holding period before sale, provided the issuer is subject to SEC reporting requirements.
* Other Options:
* Notification to FINRA (C) is incorrect; Form 144 is submitted to the SEC, not FINRA.
* The 10% ADTV limitation (D) applies to the volume of shares sold, not the conditions for sale.
References:
* SEC Rule 144 (Selling Restricted Securities): SEC Rule 144.


NEW QUESTION # 13
When is it permissible to exercise European-style options contracts?

  • A. Only on the day of expiration
  • B. Only on the last business day before expiration
  • C. Only on the day after expiration
  • D. Only on the third Friday of every month

Answer: A

Explanation:
Step by Step Explanation:
* European-Style Options: Can only be exercised on their expiration date, unlike American-style options, which can be exercised any time before expiration.
* Incorrect Options:
* A: Not accurate; the exercise must occur specifically on the expiration date.
* C: Options cannot be exercised after expiration.
* D: The expiration date depends on the option contract, not a specific weekday.
References:
* Options Clearing Corporation (OCC) Guidelines: OCC European Options.


NEW QUESTION # 14
An associated person at a member firm receives a complaint from a customer involving allegations of forgery.
Once the complaint is received, which of the following actions is required?

  • A. The member firm must report the event promptly to FINRA.
  • B. The member firm is not required to report the event to FINRA but must maintain a file of the complaint for four years.
  • C. The member firm must complete arbitration to resolve the complaint with the customer before filing a report with FINRA.
  • D. The member firm must have a principal review the complaint and determine if the forgery occurred before filing a report with FINRA.

Answer: A

Explanation:
Step by Step Explanation:
* FINRA Rule 4530: Requires member firms to report certain events, including allegations of forgery, to FINRA promptly.
* Incorrect Options:
* Option B: Maintaining a record does not substitute for required reporting.
* Option C: Arbitration isn't required before reporting.
* Option D: Reporting is mandatory irrespective of internal investigations.
References:
* FINRA Rule 4530 (Reporting Requirements): FINRA Rule 4530.


NEW QUESTION # 15
Which of the following is a reportable obligation with respect to an individual's Form U4?

  • A. A gambling-related misdemeanor charge
  • B. A change of residential address
  • C. A change of business telephone number
  • D. A speeding ticket

Answer: A

Explanation:
Step by Step Explanation:
* Form U4 Reporting Requirements: Registered persons must disclose criminal charges (excluding minor traffic violations) and material changes such as residential address changes. Gambling-related misdemeanors are considered reportable.
* Incorrect Options:
* Speeding Ticket: Typically not reportable unless it involves a felony.
* Business Telephone Number: Not material for Form U4.
References:
* FINRA Form U4 Instructions: FINRA Form U4.


NEW QUESTION # 16
A customer purchases 100 shares of stock on Thursday, August 2. This transaction must settle regular way no later than:

  • A. Tuesday, August 7
  • B. Friday, August 3
  • C. Monday, August 6
  • D. Wednesday, August 8

Answer: C

Explanation:
Step by Step Explanation:
* Regular-Way Settlement: For equity securities, settlement occurs on a T+2 basis, meaning two business days after the trade date.
* Calculation:
* Trade Date (T): Thursday, August 2.
* T+2 Settlement: Excludes weekends, so settlement falls on Monday, August 6.
* Incorrect Options:
* A: Reflects T+1, not the correct settlement cycle.
* C & D: Extend beyond the standard T+2 cycle.
References:
* FINRA and SEC Settlement Rules: SEC Settlement Rules.


NEW QUESTION # 17
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