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Dan White Dan White

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FINRA SIE VCE Dumps & Testking IT echter Test von SIE

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FINRA SIE Prüfungsplan:

Thema
Einzelheiten

Thema 1

Employee Conduct and Reportable Events: This section of the exam measures the skills of Financial Compliance Specialists and covers regulatory expectations regarding employee conduct and disclosure requirements. Candidates must be familiar with Form U4 and Form U5, as well as reporting obligations for outside business activities and political contributions.

Thema 2

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.

Thema 3

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.

Thema 4

Understanding Products and Their Risks: This section of the exam measures the skills of Investment Analysts and examines different financial products and associated risks. Candidates must understand equity securities, including common stock, as well as debt instruments such as Treasury securities and mortgage-backed securities.

Thema 5

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.

>> SIE Originale Fragen <<

SIE Torrent Anleitung - SIE Studienführer & SIE wirkliche Prüfung

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FINRA Securities Industry Essentials Exam (SIE) SIE Prüfungsfragen mit Lösungen (Q162-Q167):

162. Frage
Company XYZ files a registration statement for its initial public offering (IPO). XYZ is permitted to communicate all of the following information about the offering in writing to investorsexceptthat:

A. The IPO is being underwritten by Bank ABC and Bank DEF.
B. The road show will be held February 6-10 in New York and Boston.
C. The IPO is expected to price in early February.
D. A recent industry report supports the company's valuation.

Antwort: D

Begründung:
During the "quiet period" after filing the registration statement, issuers are restricted in what they can communicate to the public to avoid influencing the market.
* C is correctbecause promotional statements, such as those supporting the company's valuation, are prohibited during this time.
* A,B, andDare factual, non-promotional statements and are permitted.

163. Frage
A municipal securities dealer makes a political contribution of $990 to a local mayoral candidate. At the end of the quarter, to whom, if anyone, must the dealer report the contribution?

A. No disclosure required as the amount is below the reporting threshold
B. FINRA
C. SEC
D. MSRB

Antwort: D

Begründung:
Step by Step Explanation:
* MSRB Rule G-37: Requires municipal securities dealers to report contributions to the MSRB, even if the amount is below the $1,000 threshold that would trigger a two-year prohibition on municipal business.
* Incorrect Options:
* SEC and FINRA: Not involved in reporting political contributions for municipal securities.
References:
* MSRB Rule G-37 (Political Contributions): MSRB Rule G-37.

164. Frage
Which of the following responses best characterizes a money market mutual fund?

A. Its underlying investments are short term.
B. Its price is fixed at $1 per share.
C. Its yield always exceeds a savings account rate.
D. It pays a fixed rate of return.

Antwort: A

Begründung:
Money market mutual funds invest in highly liquid, short-term debt instruments, such as Treasury bills, commercial paper, and certificates of deposit. While the funds aim to maintain a stable $1 NAV, this is not guaranteed.
* C is correctbecause the fund's investments are short term.
* Ais incorrect because the rate of return is not fixed; it varies with market interest rates.
* Bis incorrect because while the fund tries to maintain a $1 NAV, it is not guaranteed.
* Dis incorrect because yields do not always exceed those of savings accounts.

165. Frage
A registered representative (RR) opens a new account for a customer whose investment objectives are growth and income. She makes an initial deposit of $5,500 using a series of money orders drawn from different sources, and she makes no investments for the first 30 days the account is open. At the end of that time, the customer asks to have the funds wired to an account at a different firm as her needs have changed. The RR's first course of action should be to:

A. Report internally as a suspicious activity.
B. Accept the instructions and wire the funds.
C. Freeze the account.
D. Deny the request.

Antwort: A

Begründung:
Step by Step Explanation:
* Suspicious Activity: The use of multiple money orders, lack of investment activity, and request to wire funds to another firm raise red flags for potential money laundering.
* FINRA Rules: The RR should escalate the issue by reporting internally and potentially filing a Suspicious Activity Report (SAR).
* Incorrect Options:
* A: Denying the request without investigation may violate customer instructions.
* B: Freezing the account requires a valid legal or regulatory basis.
* D: Processing the request without investigation could facilitate illegal activity.
References:
* FINRA Anti-Money Laundering (AML) Guidance: FINRA AML Rules.

166. Frage
A customer owns 100 shares of ABC with a current market value of $5.00 per share. The company undergoes a 1-for-2 reverse split of the stock. Which of the following statements is true of the customer's holdings and the price of the stock?

A. The customer will have 200 shares at $2.50 per share.
B. The customer will have 100 shares at $5.00 per share.
C. The customer will have 1,000 shares at $0.50 per share.
D. The customer will have 50 shares at $10.00 per share.

Antwort: D

Begründung:
Step by Step Explanation:
* Reverse Split Calculation: A 1-for-2 reverse split reduces the number of shares by half while doubling the price per share.
* Pre-Split Holdings: 100 shares at $5.00 = $500.
* Post-Split Holdings: 50 shares at $10.00 = $500.
* Incorrect Options: The total value remains unchanged; only the number of shares and price per share adjust.
References:
* FINRA Corporate Actions Guidance: FINRA Reverse Splits.

167. Frage
......

Unsere FINRA SIE Prüfungsunterlage (Securities Industry Essentials Exam (SIE)) enthalten alle echten, originalen und richtigen Fragen und Antworten. Die Abdeckungsrate unserer FINRA SIE Unterlagen (Fragen und Antworten) (Securities Industry Essentials Exam (SIE)) ist normalerweise mehr als 98%.

SIE Simulationsfragen: https://www.zertsoft.com/SIE-pruefungsfragen.html

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Dan White Dan White

Biography

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