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

A. The value of the fund is not guaranteed by the government or any federal agency.

B. Government bond funds are diversified.

C. If interest rates fall, the net asset value (NAV) of the fund will likely drop as well.

D. Dividend/interest payments will be the same each month.

A. Front running

B. Market manipulation

C. Selling away

D. Insider trading

A. The Securities Act of 1933

B. The Investment Advisers Act of 1940

C. The Investment Company Act of 1940

D. The Securities Exchange Act of 1934

A. The firm is acting as an intermediary between the customer and an unrelated firm.

B. The firm matched the customer's purchase with a sell order listed on an electronic communication network (ECN).

C. The firm is selling to the customer from its inventory.

D. The firm is acting as an intermediary between the customer and another customer.

A. By the agreed-upon settlement date with the issuer

B. On the 5th business day after execution

C. Before or at the same time as securities being delivered

D. No later than 3 days after the securities are delivered

A. Mutual fund accounts held directly with the fund company

B. A 529 savings plan account established for his grandchild

C. Variable contracts registered under the Investment Company Act

D. An investment advisory account in which securities transactions are effected

A. Capital gains reinvestment

B. Dividend reinvestment

C. Asset reallocation

D. Dollar cost averaging

A. Volunteer workers

B. Active duty military personnel

C. Small business owners

D. Employees of a nonprofit hospital

A. Upon the death of a tenant, all shares in the account are taxable in the estate of the deceased.

B. Each tenant has a fractional interest in the investment.

C. All tenants must sign redemption requests.

D. Any income is distributed evenly among the tenants.

A. Penny stocks are generally less liquid than blue-chip stocks.

B. Penny stock issuers are generally better capitalized than issuers of blue-chip stocks.

C. Penny stocks are more likely to pay dividends than blue-chip stocks.

D. Penny stock prices are generally more stable than blue-chip stock prices.