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最新的 General Securities Representative SIE 免費考試真題：

問題 #1

A customer will be out of the country for the next two months on business and asks his firm to hold his mail until he returns. Which of the following statements is true regarding this request?

A. At the discretion of the RR, the firm is permitted to hold the customer ' s mail provided it takes reasonable actions to ensure no tampering occurs with this mail.
B. The firm is prohibited from holding the customer ' s mail under FINRA rules due to the personal information contained.
C. The firm must receive written instructions from the customer that include the time period for the requested mail hold.
D. The firm is permitted to hold the mail as long as the registered representative (RR) complies with the customer ' s oral instructions.

問題 #2

When are registered persons required to fulfill their Continuing Education (CE) Regulatory Element requirement?

A. Semiannually
B. Upon the receipt of a customer complaint
C. Annually
D. After the initial three-year requirement and then every two years

問題 #3

SEC Regulation S-P (Consumer Privacy) requires certain information to be included in privacy notices delivered to customers of broker-dealers (BDs). Which of the following information is required to be included in the privacy notice?

A. The website and telephone number of the Consumer Financial Protection Bureau (CFPB)
B. The name and telephone number of the BD ' s chief compliance officer
C. The BD ' s policies and practices for protecting the customer ' s nonpublic personal information
D. The website and telephone number of SIPC

問題 #4

Which of the following responses best describes how member firms are required to retain electronic correspondence and internal communications of associated persons?

A. On the firm ' s server
B. In hard copy
C. In a non-rewriteable format
D. In the firm ' s cloud storage

問題 #5

Which of the following characteristics is true of open-end mutual fund shares?

A. They terminate and dissolve on an established date.
B. Their price is calculated intra-day based on the changing market value of the fund.
C. They are purchased by investors in the secondary market.
D. They are purchased by investors directly from the fund or through a broker-dealer offering the fund.

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