SIE (Securities Industry Essentials) Practice Exam

Disable ads (and more) with a membership for a one time $2.99 payment

Ace your Securities Industry Essentials (SIE) Exam with Examzify! Our practice exam features flashcards, multiple-choice questions with detailed explanations, and insightful tips to ensure your success.

Each practice test/flash card set has 50 randomly selected questions from a bank of over 500. You'll get a new set of questions each time!

Practice this question and more.

The Securities Act of 1933 primarily deals with the registration of:

Government bonds
Municipal securities
Non-exempt issues
Stock options

The correct answer is: Non-exempt issues

The Securities Act of 1933 was created to protect investors by requiring companies to register their publicly sold securities with the US government. This ensures transparency and disclosure of information for potential investors. While government bonds, municipal securities, and stock options may also require registration under different laws, they are not the primary focus of the Securities Act of 1933. Non-exempt issues, on the other hand, are specifically mentioned in the act and are subject to its provisions. Therefore, C is the correct answer.