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Practice sample: FINRA Securities Industry Essentials (SIE)

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Practice sample: FINRA Securities Industry Essentials (SIE)

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Question 1 of 5

Question 1.A recently hired registered representative at a mid-sized member firm wants to open a self-directed brokerage account at a different member firm to manage his personal savings. Before opening the account, what must he do?

Obtain written approval directly from FINRA before placing any orderProvide verbal notice to his branch manager after the first trade settlesFile an amendment to his Form U4 disclosing the new outside accountObtain the prior written consent of his employing member firm

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Explanations appear after submission. You may retake the practice exam any number of times.

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SIE Securities Industry Essentials Exam Prep is built as exam practice, not a generic sales page. This uses the same timed runner enrolled students use for practice.

Available bank: 2,628 questions
Full student attempts: up to 85 questions per attempt
Shuffled choices and explanations after submission
Original questions; no real or recalled exam items

Topics in this sample

Outside brokerage accounts: FINRA Rule 3210
Minimum equity on an initial margin purchase
Cumulative preferred — dividends in arrears
Selling away — identifying the violation
Margin accounts — minimum equity on small initial purchases

National Course Portal is an independent provider. This sample uses original educational prep questions and does not include real, recalled, or leaked questions from any official exam.