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Update date : 04-Dec-2024
QA: 85 Answers With In-Depth Explanation
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SIE PDF Exam (Downloadable)
Latest 2024 Syllabus Topics Included
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Updated : 04-Dec-2024
QA : 85 Answers With In-Depth Explanation
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SIE Question and answers Include

Total Questions: 85 Q&A's
Single Choice: 85 Q&A's

FINRA SIE Exam Dumps - Valid Questions Answers

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Related FINRA Exams

FINRA SIE Last Week Results!

20

Customers Passed
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Average Score In Real
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Questions came word by
word from this dump

SIE Questions and Answers

Question # 1

The formation of an asset-backed security or debt obligation that represents a claim on the cash flows from mortgage loans is known as:

A.

Securitization

B.

Hypothecation

C.

Loan processing

D.

Claim processing

Question # 2

Under which of the following circumstances, if any, is it permissible for an individual without a Power of Attorney (POA) to sign a customer's name on their behalf?

A.

Upon approval by a firm principal

B.

Upon receipt of verbal authorization provided that written authorization is subsequently provided

C.

When accounts are fully discretionary

D.

Never permissible to sign a customer's name on their behalf

Question # 3

Which of the following strategies is best for mitigating the risk of a concentrated position?

A.

Diversification

B.

Use of leverage

C.

Dollar-cost averaging

D.

Dividend reinvestment

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