WELL-PREPARED LATEST SIE TEST QUESTIONS & LEADING OFFER IN QUALIFICATION EXAMS & ACCURATE SIE VALID EXAM VCE FREE

Well-Prepared Latest SIE Test Questions & Leading Offer in Qualification Exams & Accurate SIE Valid Exam Vce Free

Well-Prepared Latest SIE Test Questions & Leading Offer in Qualification Exams & Accurate SIE Valid Exam Vce Free

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Tags: Latest SIE Test Questions, SIE Valid Exam Vce Free, Latest SIE Test Fee, SIE Best Preparation Materials, Reliable SIE Practice Materials

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FINRA SIE Exam Syllabus Topics:

TopicDetails
Topic 1
  • Regulatory Entities, Agencies, and Market Participants: This section of the exam measures the skills of Financial Regulatory Analysts and covers the structure, authority, and jurisdiction of key regulatory bodies overseeing financial markets. The SEC's role in enforcing securities regulations is assessed, along with the authority of self-regulatory organizations such as FINRA and MSRB. Candidates must also understand the functions of other financial regulators, including the Department of the Treasury and state regulatory agencies. One key skill evaluated is identifying the jurisdictional scope of different financial regulators.
Topic 2
  • Market Structure: This section of the exam measures the skills of Equity Market Specialists and covers the classification of financial markets, including the primary, secondary, third, and fourth markets. Candidates must demonstrate knowledge of electronic trading, over-the-counter (OTC) markets, and physical exchanges. One specific skill tested is differentiating between various market types and their operational mechanisms.
Topic 3
  • Overview of the Regulatory Framework: This section of the exam measures the skills of Compliance Officers and evaluates knowledge of self-regulatory organization (SRO) requirements, including registration and continuing education for associated persons. Candidates must understand the distinction between registered and non-registered individuals and the requirements for maintaining industry qualifications.
Topic 4
  • Understanding Trading, Customer Accounts, and Prohibited Activities: This section of the exam measures the skills of Securities Traders and focuses on different trading strategies, settlement processes, and corporate actions. Candidates must demonstrate knowledge of order types, including market, limit, stop, and good-til-canceled orders, as well as bid-ask spreads and discretionary versus non-discretionary trading.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q13-Q18):

NEW QUESTION # 13
Which of the following responses describes treasury stock?

  • A. Authorized but unissued stock
  • B. Stock subsequently reacquired by the issuer
  • C. U.S. government securities held by a corporation
  • D. Restricted stock owned by officers

Answer: B

Explanation:
Treasury stock refers to shares that were issued by a company and subsequently repurchased by the company.
These shares are held in the company's treasury and are not considered outstanding.
* C is correctbecause treasury stock is stock reacquired by the issuer.
* Ais incorrect because authorized but unissued stock has never been issued.
* Bis incorrect because restricted stock refers to shares issued with restrictions on transferability, not reacquired stock.
* Dis incorrect because it incorrectly refers to government securities, not corporate stock.


NEW QUESTION # 14
Which of the following responses best describes a short sale?

  • A. A sale of securities that results in a loss
  • B. A sale of securities that results in an unsecured debit balance in the investor's account
  • C. A sale of securities that the investor does not own
  • D. A sale of securities that the investor had purchased in his cash account but had not yet paid for

Answer: C

Explanation:
Step by Step Explanation:
* Short Sale Definition: Involves selling borrowed securities with the expectation of repurchasing them at a lower price.
* Investor Ownership: Short sales do not involve securities already owned by the seller.
* Other Options: None of the other choices accurately define a short sale.
References:
* SEC Regulation SHO (Short Selling): SEC Short Sales.


NEW QUESTION # 15
Which of the following strategies is an investor most likely to employ using options contracts?

  • A. Buying put options when the market shows upward momentum
  • B. Buying put options to set a definitive floor for potential losses
  • C. Buying call options when the market shows downward momentum
  • D. Selling call options to set a definitive ceiling for potential losses

Answer: B

Explanation:
Buying a put option gives the investor the right to sell a stock at a specific strike price, effectively setting a floor for potential losses if the stock price declines. This is a common risk-management strategy.
* A is correctbecause buying puts limits downside risk while retaining the potential for upside gains.
* Bis incorrect as buying puts is a bearish strategy, not one used during upward momentum.
* Cis incorrect because selling call options does not hedge losses; it is a speculative or income-generating strategy.
* Dis incorrect because buying calls is a bullish strategy, used during upward momentum, not downward.


NEW QUESTION # 16
Which of the following must a registered representative disclose as an outside business activity (OBA) on his Form U4?

  • A. Volunteer work for a local charity
  • B. Trustee on a grandparent's estate account
  • C. Board member serving without compensation for a not-for-profit entity
  • D. Board member for a publicly traded company

Answer: D

Explanation:
FINRA Rule 3270 requires registered representatives to disclose all outside business activities that involve compensation or could reasonably be perceived as a conflict of interest.
* C is correctbecause serving as a board member for a publicly traded company is a business activity requiring disclosure, even if compensation is indirect.
* Ais incorrect because volunteer work for charities does not require disclosure.
* Bis incorrect because acting as a trustee for a personal or family estate is generally not considered an OBA.
* Dis incorrect because unpaid board membership for a not-for-profit entity does not typically require disclosure.


NEW QUESTION # 17
Which of the following types of accounts permits an investor to borrow money from a broker-dealer to help pay for a trade?

  • A. Delivery versus payment (DVP) / receive versus payment (RVP)
  • B. An individual retirement account (IRA)
  • C. Cash
  • D. Margin

Answer: D

Explanation:
Step by Step Explanation:
* Margin Accounts: Allow investors to borrow funds to purchase securities, with the securities serving as collateral for the loan.
* Cash Accounts: Require full payment for securities purchased.
* IRAs: Do not permit borrowing due to their tax-advantaged status.
* DVP/RVP: Settlement mechanisms, not account types for borrowing.
References:
* FINRA Rule 4210 (Margin Requirements): FINRA Rule 4210.


NEW QUESTION # 18
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