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Quiz 2025 Valid FINRA SIE: New Securities Industry Essentials Exam (SIE) Exam Prep

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q132-Q137):

NEW QUESTION # 132
A customer is unhappy about a $5,000 loss in a stock that the registered representative (RR) recommended and threatens to call FINRA's Securities Helpline for Seniors about the matter. What is the most appropriate next step for the RR to take?

A. The RR is permitted to reimburse the customer for the loss to resolve the customer's complaint.
B. The RR should notify their supervisor about the customer's dissatisfaction.
C. The RR should alert their compliance department to update their Form U4 with the complaint details.
D. The RR should call FINRA's Securities Helpline for Seniors before the customer does and explain their side of the story.

Answer: B

Explanation:
Step by Step Explanation:
* Escalation Requirement: The RR must promptly notify their supervisor or compliance department about the customer's complaint as required by FINRA rules. Supervisors handle customer complaints according to firm procedures.
* Incorrect Options:
* B: Reimbursing the customer is not permissible without firm approval and may create compliance issues.
* C: Complaints requiring Form U4 updates involve specific allegations such as fraud, not general dissatisfaction.
* D: The RR should not contact FINRA directly; the firm will handle communications.
References:
* FINRA Rule 4530 (Reporting Requirements): FINRA Rule 4530.

NEW QUESTION # 133
Which of the following types of securities is an equity?

A. Exchange-traded note (ETN)
B. Preferred stock
C. Commercial paper
D. Certificate of deposit (CD)

Answer: B

Explanation:
Equity securities represent ownership in a company, and preferred stock is a type of equity security that pays dividends and has priority over common stock in liquidation.
* A is correctbecause preferred stock is an equity security.
* Bis incorrect because commercial paper is a short-term debt security.
* Cis incorrect because certificates of deposit (CDs) are fixed-income banking products.
* Dis incorrect because exchange-traded notes (ETNs) are unsecured debt securities.

NEW QUESTION # 134
A registered representative must complete which of the following activities when entering a discretionary trade?

A. Indicate that discretion was exercised on the order ticket to be identified for supervisory review
B. Only exercise discretion over market orders
C. Obtain authorization from the customer before each discretionary order is entered
D. Receive instructions from the customer as to the price at which to buy or sell a security

Answer: A

Explanation:
FINRA Rule 3260 requires that discretionary trades be approved by the customer in writing and reviewed by the supervising firm. The order ticket must indicate that discretion was exercised to ensure proper oversight.
* B is correctbecause marking the order ticket ensures compliance with supervisory requirements.
* Ais incorrect because discretionary authority is not limited to market orders.
* Cis incorrect as discretionary trades do not require pre-approval for each trade but require prior written authorization.
* Dis incorrect because discretionary authority allows the RR to decide on price and timing without specific customer instructions.

NEW QUESTION # 135
Which of the following activities is a responsibility of a mutual fund transfer agent?

A. Maintaining custody of the fund's securities
B. Maintaining records of shareholder purchases and redemptions
C. Underwriting new shares of securities
D. Distributing the fund's prospectus to investors

Answer: B

Explanation:
A transfer agent is responsible for maintaining accurate records of shareholder purchases, redemptions, and account balances. They also handle the issuance and cancellation of shares and ensure shareholders receive appropriate distributions.
* D is correctbecause maintaining shareholder records is a core duty of a transfer agent.
* Ais incorrect because underwriting is the responsibility of a broker-dealer.
* Bis incorrect because distributing the prospectus is handled by the fund's distributor.
* Cis incorrect because custody of securities is the role of a custodian, not the transfer agent.

NEW QUESTION # 136
Which of the following products is the most appropriate class of investments for a customer looking for income and capital gains?

A. A growth stock
B. A money market account
C. Treasury Separate Trading of Registered Interest and Principal of Securities (STRIPS)
D. A blue-chip stock mutual fund

Answer: D

Explanation:
Step by Step Explanation:
* Blue-Chip Stock Mutual Funds: Invest in large, established companies that typically provide stable dividend income and potential for capital appreciation.
* Incorrect Options:
* A: Growth stocks prioritize capital appreciation, not income.
* B: Money market accounts focus on safety and liquidity, not capital gains.
* D: STRIPS provide fixed income without capital gains potential.
References:
* FINRA Investment Product Education: FINRA Investment Guidance.

NEW QUESTION # 137
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