SIE Tutoring Questions

As part of our SIE Tutoring process, we try to help students Pass the SIE Exam first try.   We can also encourage you to work harder and teach you how to be a better test taker.  

We have created lots of practice questions for the SIE Exam and other exams.  Here are examples of the SIE Exam Questions:

 

Arrange the following in priority of claim in a corporate liquidation:

A) Common stock, preferred stock, unsecured debt and Secured Debt

B) Secured Debt, preferred stock, unsecured debt and common stock

C) Unsecured debt, secured debt, common stock and preferred stock

D) Secured debt, unsecured debt, preferred stock and common stock         

A Corporation that has short term funding needs would MOST LIKELY issue which of the following?

A) Treasury Bills

B) Commercial Paper

C) Repurchase Agreements

D) Debentures

Which of the following is true regarding warrants?
A)    Warrants are normally issued as sweeteners in bond deals and. The exercise price of a warrant is set at a discount to the stock’s current stock price
B)    Warrants are long term and the exercise price of a warrant is set at a discount to the stock’s current stock price
C)    Warrants are normally issued as sweeteners in bond deals and. The exercise price of a warrant is set at a premium to the stock’s current stock price
D)    Warrants are short term and the exercise price of a warrant is set at a premium to the stock’s current stock price

34) Which of the following would be associated with an open end fund?
A) Purchased at the public offering price plus a sales charge
B) Capitalization is not fixed
C) Can be purchased on margin
D) Can be purchased at a discount from its net asset value

58.  A 49 year old unmarried person earns $90,000 per year and is covered by his or her employer’s retirement plan.  What is the maximum the customer can contribute to a traditional IRA without incurring a tax penalty?
 

A. 0
B. The lesser of $6,000 and 100% of earned income
C. The lesser of $7,000 and 100% of earned income
D. The lesser of $12,000 and 100% of earned income

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News!

08-19 - SIE Exam Tutoring helped Jorge, Lisa, Casey, Mark, and Will pass the SIE Exam

07-19 - With the help of a SIE Tutor, Susan passed the SIE exam

05-19 - With the help of a SIE Tutor, Laura passed the SIE Exam

04-19 - SIE Exam Tutoring helped Robert pass the SIE Exam

03-19 - With the help of a SIE Exam Tutor, Melissa passed the SIE Exam

12-18 - With the help of a SIE Exam Tutor, Gerry and Robert passed the SIE Exam 

08-18 - Finance Exam Tutor begins offering tutoring for the SIE Exam

11/17 - Finance Exam Tutor is hiring but please only inquire about Series 7 Tutoring positions                if you have several years of prior Series 7 Tutoring experience. We are looking for                      Series 7 Tutors all over the US but especially in NYC, NY.

11/17 - Series 7 Tutoring helped Jessica passed the Series 7 Exam

10/17 - Series 7 Tutoring helped Danielle pass the Series 7 Exam​

10/17 - FINRA announces the restructuring of certain FINRA exams and introduces                                 the Securities Industry Essentials Exam.  Series 7 Tutoring can help you with old                       and new exams.

09/17 - T+2 Settlement goes into effect for stocks, corporate bonds and municipal                                   bonds.  Series 7 Tutoring can help you understand the other  effects of this                                 change. 

08/17 - Was a busy month with Series 24 students and with Series 7 students

07/17 - Students continue to appreciate our suitability questions for the series 7 exam

07/17 - The SEC approves the Securities Industry Essentials Exam and the restructuring              of the Series 6 and Series 7 exams.  Series 7 Tutoring can help you with old and                restructured exams.

04/12 - Series 7 Tutoring helped Jennifer pass the Series 7 Exam.
03/12 - With the help of a Series 7 Tutor, Maureen passed the Series 7 Exam.
02/12 - Series 7 Tutoring helped Chris passed the Series 7 Exam.
02/12 - With the help of a Series 7 Tutor, Jim passed the Series 7 Exam.
02/12 - Series 7 Tutoring helped Robert pass the Series 7 Exam.            
01/12 - Finance Exam Tutor helps Jessica pass her corporate finance final exam!
11/11 - FINRA raises the minimum passing score on the Series 7 Exam to 72% from                      70%.  Getting a  Series 7 Tutor can help you try to pass this exam!

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