Free SIE Exam Practice Test 43

1. Which of the following SEC regulations requires firms to have policies and procedures addressing the protection of customer information and records? This regulation also requires firms to provide initial and annual privacy notices to customers describing information sharing policies.

2. According to the Telephone Consumer Protection Act, solicitors are prohibited from calling residences before __________ and after __________ local time.

3. Which of the following describes the illegal practice of excessive buying and selling of securities in a customer's account without considering the customer's investment goals? Its primary goal is to generate commissions that benefit the broker.

4. The two main types of mutual fund prospectuses are the __________ prospectus and the __________ prospectus.

5. Which of the following is the minimum denomination of Treasury notes that can be purchased by an investor?

6. Treasury STRIPS are always issued at a:

7. Which of the following is used to determine whether an instrument qualifies as an "investment contract" for the purposes of the Securities Act of 1933?

8. Which of the following securities are backed by the full faith and credit of the U.S. government?

9. Which of the following refers to the high-speed electronic system that reports the latest price and volume data on sales of exchange-listed stocks?

10. All but which of the following are correct regarding a bond's call provision?

11. In order to be eligible to make a traditional IRA contribution, an individual must be younger than age __________ by the end of the taxable year.

12. All but which of the following are correct regarding the Federal Open Market Committee (FOMC)?

13. Which of the following lists the stages of money laundering in the correct order?

14. ____ Regulates brokerage firms.

15. ____ Regulates mutual funds.

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