Free SIE Practice Test Questions | Securities Industry Essentials (SIE)

Question # 62

Which of the following best describes the role of a broker?

Options:

Acts as principal, trading for the firm’s own account

Acts as agent, executing trades on behalf of clients

Guarantees new issue securities at the POP

Creates structured products for retail investors

Viewing question 62 out of 72 questions

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SIE Overview

Name	Securities Industry Essentials (SIE)
Code	SIE
Vendor	Finance, Insurance and Real Est
Certification	Financial Industry Regulatory Authority (FINRA)

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