FINRA SIE FINAL STUDY GUIDE 2023 QUESTIONS AND ANSWERS CORRECT AND VERIFIED-15

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Nov 24, 2024

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FINRA SIE FINAL STUDY GUIDE 2023 |QUESTIONS AND ANSWERS CORRECT AND VERIFIED D. a coworker informs the employee of a conversation he had with the administrative assistant to the company's general counsel regarding key developments in an ongoing class action lawsuit - ANSWER A A customer is an officer of a company that is involved in some significant changes. All of the following items are examples of corporate affairs that could be considered inside information if the customer shares them with his registered representative EXCEPT: A. pending transactions B. declared stock dividend C. top management changes D. imminent financial liquidity problems - ANSWER B Upon expiration, all in-the-money S&P 100 index call option are settles by the delivery of which of the following? A. cash B. S&P 100 index stocks C. S&P exchange-traded fund (ETF) D. the same number of S&P 100 index put options - ANSWER A At issue, which of the following debt securities mature in one year or less? A. FNMA bonds B. GNMA bonds C. treasury notes D. money market instruments - ANSWER D An associated person who is not a registered representative is permitted to engage in which of the following activities? A. accept an unsolicited customer order B. provide account opening forms to a new customer

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