FINRA SIE Q&A - in .pdf

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  • Exam Code: SIE
  • Exam Name: Securities Industry Essentials Exam (SIE)
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FINRA SIE Q&A - Testing Engine

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NEW QUESTION: 1
Which policy type can be used to seed static or dynamic groups?
Choose the correct answer.
A. Application
B. Enrollment
C. Configuration
D. Session
Answer: B

NEW QUESTION: 2
For what time period does a Form 144 remain in effect?
A. 60 days
B. 30 days
C. 90 days
D. one year
Answer: C
Explanation:
Explanation/Reference:
Explanation: 90 days. To avoid a forced sale, stock many be sold under Rule 144 over a 90-day period.

NEW QUESTION: 3
An administrator creates a content source to import three Cloud Assembly blueprints in to Service Broker.
After some time, he is tasked with deleting the content source.
What would happen if and when this content source is deleted?
A. All three blueprints are deleted from Service Broker and Cloud Assembly.
B. All three blueprints are deleted from Service Broker.
C. Only the content source is deleted but the blueprints remain intact in Service Broker.
D. Once created, a content source cannot be deleted.
Answer: B

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