Finra dumpspedia last Attempt Sie Questions by Lisa q16 vce pdf

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FINRA SIE Exam Overview :

Exam Name:	Securities Industry Essentials Exam (SIE)
Exam Code:	SIE Dumps
Vendor:	FINRA	Certification:	General Securities Representative
Questions:	164 Q&A's	Shared By:	lisa

Question 48

How does an individual acquire restricted stock?

Options:

By participating in an SEC Regulation D offering

By participating in an initial public offering (IPO)

By exercising publicly traded warrants

By exercising an option for exchange-traded calls

Discussion

Question 49

Which of the following is considered nonpublic information?

Options:

Customer's name

Customer's address

Customer's net worth

Customer's telephone number

Discussion

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finra.surepassexam.free sie questions attempt.by neave.q49.vce.pdf

2024-12-09