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Securities Industry Essentials Exam (SIE)

  • Exam Number/Code : SIE
  • Exam Name : Securities Industry Essentials Exam (SIE)
  • Questions and Answers : 213 Q&As
  • Update Time: 2019-01-10
  • Price: $ 99.00 $ 39.00
SIE

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NEW QUESTION: 1

A. Option D
B. Option A
C. Option E
D. Option B
E. Option C
Answer: B,C,D

NEW QUESTION: 2
Change the colour of the selected text to purple, as shown in the following sample.

A. From the font color tool in the drawing tool bar select the purple color
Answer: A

NEW QUESTION: 3
Which additional tools are called by tp to perform all import steps.
Choose the correct answer(s).
A. RDDIMPDP
B. R3trans
C. R3import
D. tp_abap.exe
Answer: A,B

NEW QUESTION: 4
Bubba has been classified as a restricted person according to Rule 2790. He may purchase equity securities of an IPO except:
A. when the new issue of securities is purchased pursuant to a best effort basis
B. when the new issue of securities is purchased pursuant to a stand-by agreement
C. when the transaction is exempt by an order of the FINRA
D. to purchase securities to avoid dilution
Answer: A
Explanation:
Explanation/Reference:
Explanation: when the new issue of securities is purchased pursuant to a best effort basis. All the other choices are allowable under the rule "except" this one.