SIE STUDY MATERIALS & SIE EXAM PREPARATION & SIE PASS SCORE

SIE study materials & SIE exam preparation & SIE pass score

SIE study materials & SIE exam preparation & SIE pass score

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Tags: SIE Vce Exam, Reliable SIE Exam Questions, Study SIE Material, SIE Valid Exam Experience, New SIE Study Materials

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FINRA SIE Exam Syllabus Topics:

TopicDetails
Topic 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.
Topic 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.
Topic 3
  • 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.

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FINRA - SIE - Trustable Securities Industry Essentials Exam (SIE) Vce Exam

It is a truth universally acknowledged that there are more and more people in pursuit of the better job and a better life in the competitive world, especially these people who cannot earn a nice living. A lot of people has regard passing the SIE exam as the best and even only one method to achieve their great goals, because they cannot find the another method that is easier than the exam to help them to make their dreams come true, and more importantly, the way of passing the SIE Exam can help them save a lot of time. So a growing number of people have set out to preparing for the exam in the past years in order to gain the higher standard life and a decent job. As is known to us, the exam has been more and more difficult for all people to pass, but it is because of this, people who have passed the SIE exam successfully and get the related certification will be taken seriously by the leaders from the great companies.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q145-Q150):

NEW QUESTION # 145
Which of the following products is the most appropriate class of investments for a customer looking for income and capital gains?

  • A. A blue-chip stock mutual fund
  • B. Treasury Separate Trading of Registered Interest and Principal of Securities (STRIPS)
  • C. A growth stock
  • D. A money market account

Answer: A

Explanation:
Step by Step Explanation:
* Blue-Chip Stock Mutual Funds: Invest in large, established companies that typically provide stable dividend income and potential for capital appreciation.
* Incorrect Options:
* A: Growth stocks prioritize capital appreciation, not income.
* B: Money market accounts focus on safety and liquidity, not capital gains.
* D: STRIPS provide fixed income without capital gains potential.
References:
* FINRA Investment Product Education: FINRA Investment Guidance.


NEW QUESTION # 146
Which of the following statements best describes the permissibility of a borrowing arrangement between a registered representative (RR) and a customer who is also the RR's grandfather?

  • A. It is permissible subject to FINRA approval.
  • B. It is permissible if the grandfather agrees in writing.
  • C. It is permissible if the loan was made on commercially reasonable terms.
  • D. It is permissible provided that the loan was made in accordance with the firm's policies.

Answer: D

Explanation:
Step by Step Explanation:
* FINRA Rule 3240: Permits borrowing or lending arrangements between RRs and customers under specific conditions, including familial relationships, provided the arrangement complies with the firm's policies.
* Incorrect Options:
* A: FINRA approval is not required; firm approval is.
* B: A written agreement alone is insufficient without firm approval.
* C: Commercially reasonable terms are not the sole criterion for permissibility.
References:
* FINRA Rule 3240 (Borrowing from or Lending to Customers): FINRA Rule 3240.


NEW QUESTION # 147
When the index level and strike price of a listed index option are the same, the option is:

  • A. Trading at intrinsic value only.
  • B. In the money.
  • C. At the money.
  • D. Out of the money.

Answer: C

Explanation:
An option is considered "at the money" when the current price of the underlying asset (or index level) equals the option's strike price.
* B is correctbecause the index level equals the strike price.
* Ais incorrect because "in the money" requires the option to have intrinsic value (e.g., for a call, the index level must be above the strike price).
* Cis incorrect because "out of the money" applies when the index level is below the strike price (for calls) or above it (for puts).
* Dis incorrect because "at the money" options have no intrinsic value.


NEW QUESTION # 148
SEC Regulation S-P (Consumer Privacy) requires certain information to be included in privacy notices delivered to customers of broker-dealers (BDs). Which of the following information is required to be included in the privacy notice?

  • A. The website and telephone number of the Consumer Financial Protection Bureau (CFPB)
  • B. The website and telephone number of SIPC
  • C. The name and telephone number of the BD's chief compliance officer
  • D. The BD's policies and practices for protecting the customer's nonpublic personal information

Answer: D

Explanation:
Regulation S-P mandates that broker-dealers disclose how they collect, protect, and share customers' nonpublic personal information. The privacy notice must include:
* The categories of information collected.
* The firm's policies for safeguarding data.
* Opt-out rights for sharing information with unaffiliated third parties.
* D is correctbecause privacy notices must describe policies for protecting customer information.
* A,B, andCare incorrect because they do not relate to the required elements of Regulation S-P privacy notices.


NEW QUESTION # 149
Which of the following responses describes a collateralized mortgage obligation (CMO) tranche?

  • A. The yield a customer should expect if the CMO is held to maturity
  • B. The estimated average life of the CMO expressed in years and months
  • C. The method of underwriting used by the issuer to securitize the loans in the portfolio
  • D. A slice of the investment representing a coupon rate, maturity date, and credit rating

Answer: D

Explanation:
CMOs are divided into tranches, which are portions of the pool of mortgage-backed securities. Each tranche has its own characteristics, including coupon rate, maturity date, and credit rating, tailored to meet the needs of different investors.
* C is correctbecause tranches represent slices of the investment with specific terms.
* Ais incorrect because the yield depends on prepayment rates and interest rate changes.
* Bis incorrect as average life is an estimate, not a defining characteristic of a tranche.
* Dis incorrect because underwriting is unrelated to the definition of a tranche.


NEW QUESTION # 150
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So you rest assured that with the FINRA SIE actual questions you will not only ace the FINRA SIE exam predation but also boost confidence to perform well in the final FINRA SIE test. With the FINRA SIE pdf questions you can experience the type and pattern of the final SIE exam. In this way, you will be confident on the day of the Securities Industry Essentials Exam (SIE) SIE Exam and solve all the FINRA SIE exam questions. The FINRA wants to make the SIE exam preparation simple and quick. To achieve this objective the FINRA is offering the top-notch and top-rated SIE practice test questions in three user-friendly and compatible formats.

Reliable SIE Exam Questions: https://www.examslabs.com/FINRA/General-Securities-Representative/best-SIE-exam-dumps.html

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