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Securities Industry Essentials Exam (SIE)

Last Update Feb 20, 2026
Total Questions : 266 With Methodical Explanation

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Last Update Feb 20, 2026
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Series-7 Total Questions : 400 Updated : Feb 20, 2026
Series-63 Total Questions : 251 Updated : Feb 20, 2026

Securities Industry Essentials Exam (SIE) Questions and Answers

Questions 1

Which of the following responses describes a common feature of a hedge fund?

Options:

A.

Low liquidity for investors

B.

Low minimum investment requirement

C.

Primarily focused on fixed income investments

D.

Transparent as to the underlying investments and strategies

Questions 2

SEC regulations permit a company to issue securities exempted from registration requirements of the Securities Act of 1933 under which of the following conditions?

Options:

A.

Offerings sold inside of the U.S. to non-U.S. persons

B.

Offerings sold with no more than 40 accredited investors

C.

Offerings sold with an aggregate price exceeding $5 million

D.

Offerings with no more than 35 non-accredited investors and an unlimited number of accredited investors

Questions 3

An investor generally purchases an open-end mutual fund from which of the following parties?

Options:

A.

The NYSE

B.

The fund's custodian

C.

The fund's underwriter

D.

An existing shareholder

Next Question