SIE Mock Exam: A weird error

Hi there,
Upon taking one of my mock exams, I noticed a question that appeared twice within the exam. The error? One of the answers I got correct and got dinged when it appeared the second time. Which one is correct?

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The bottom one is correct a RR must gain written approval and must notify the firm in writing. Due to the fact that he’s helping his friend on an outside activity. The firm is also required to keep details of the transaction that the RR participates in. So therefore is all of these choices.

The first screenshot is asking you the same question the only answer right was RR must notify the firm in writing.

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Got it! Then I should’ve had both questions tagged as incorrect. In other words, the RR

  • Must gain written approval

  • Must notify the firm in writing

  • Firm is required to maintain details of transaction


Yes ! You got this !


The answers provided are different in both questions, even though the questions are exactly the same. Both questions are asking which statements are true.

In the first question the answers are, the representative must notify their firm in writing, get approval VERBALLY, and the firm DOES NOT need to keep record. 2 of those 3 statements are false and only the first one is true. (You got that question right)

In the second questions, all of the choices are true. (the representative must notify their firm in writing, get approval in writing and the firm must keep record.)

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