SIE Finra Practice Exam Questions

Upon expiration, all in-the-money S&P 100 Index call options are delivered by the delivery of which of the following?

a) Cash

b) S&P 100 Index stocks

c) S&P exchange-traded funds (ETF)

c) The same number of S&P 100 index put options

Exam Breakdown and Overview (75 Questions)

(1) Knowledge of Capital Markets	16%	12
(2) Understanding Products and Their Risks	44%	33
(3) Understanding Trading, Customer Accounts and Prohibited Activities	31%	23
(4) Overview of Regulatory Framework	9%	7

What is the primary purpose of a syndicate desk in an equity offering?

The owner of which of the following products is most exposed to inflationary risk?