최신 SIE 무료덤프 - FINRA Securities Industry Essentials Exam (SIE)

문제1

Which of the following responses best describes a short sale?

A. A sale of securities that the investor had purchased in his cash account but had not yet paid for

B. A sale of securities that results in an unsecured debit balance in the investor's account

C. A sale of securities that results in a loss

D. A sale of securities that the investor does not own

정답: D

설명: (DumpTOP 회원만 볼 수 있음)

문제2

Which of the following statements is true with regard to SIPC and FDIC?

A. SIPC protects brokerage accounts, and FDIC protects bank deposits.

B. SIPC coverage is only for securities, and FDIC coverage is only for cash.

C. Money market mutual funds are covered by the FDIC and are not covered by SIPC.

D. Securities held at broker-dealers are covered by the FDIC and are not covered by SIPC.

정답: A

설명: (DumpTOP 회원만 볼 수 있음)

문제3

A customer buys 100 ABC at $50 and at the same time sells an ABC April 50 call at $8. At expiration, ABC must be at what market price for the customer to break even?

A. $44

B. $58

C. $42

D. $50

정답: C

설명: (DumpTOP 회원만 볼 수 있음)

문제4

A registered representative (RR) intends to enter into an arrangement for compensation with an unaffiliated entity to participate in the sale of promissory notes to the general public. Which of the following statements is true?

A. The RR is not required to provide prior notice to his firm as promissory notes are not considered securities.

B. This is a permissible arrangement, and the RR is only required to notify his firm.

C. The RR must receive written approval from his firm prior to entering into this arrangement.

D. The RR is required to notify his firm regarding this arrangement if compensation received is directly related to transactions.

정답: C

설명: (DumpTOP 회원만 볼 수 있음)

문제5

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. FINRA

B. SEC

C. No disclosure required as the amount is below the reporting threshold

D. MSRB

정답: D

설명: (DumpTOP 회원만 볼 수 있음)

문제6

Which of the following responses describes a warrant?

A. Redemption rights for a debt instrument

B. The right to purchase a specified amount of shares

C. An interest-paying security

D. A fixed-income security issued by a state or municipality

정답: B

설명: (DumpTOP 회원만 볼 수 있음)

문제7

An investor holds 1,000 shares of a stock with a total cost basis of $5,000 in his account when a 1-for-5 reverse stock split is announced. What will be the investor's total cost basis after the payable date of the reverse split?

A. $1,000

B. $5,000

C. $25,000

D. $2,500

정답: B

설명: (DumpTOP 회원만 볼 수 있음)

문제8

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

A. A growth stock

B. A money market account

C. Treasury Separate Trading of Registered Interest and Principal of Securities (STRIPS)

D. A blue-chip stock mutual fund

정답: D

설명: (DumpTOP 회원만 볼 수 있음)

문제9

Rising economic activity is most likely to increase revenues of which of the following sectors?

A. Healthcare

B. Consumer discretionary

C. Utilities

D. Consumer staples

정답: B

설명: (DumpTOP 회원만 볼 수 있음)

최신 SIE 무료덤프 - FINRA Securities Industry Essentials Exam (SIE)

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