Challenge Your Exam Readiness With Our Free SIE Practice Questions

Question # 1

A customer signs a discretionary trading authorization. What does this permit the registered representative to decide?

Options:

A.

Time and price of an order only

B.

Security, quantity, and action of trade

C.

Security and action only, not quantity

D.

Investment objectives of the customer

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Our free SIE practice questions act as a diagnostic tool to give you a clear snapshot of your Securities Industry Essentials (SIE) readiness. Discover which topics are your strengths and, more importantly, which critical topics require your immediate attention.

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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)

SIE Questions