VALID SIE EXAM CAMP PDF - SIE TEST TORRENT

Valid SIE Exam Camp Pdf - SIE Test Torrent

Valid SIE Exam Camp Pdf - SIE Test Torrent

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Tags: Valid SIE Exam Camp Pdf, SIE Test Torrent, Valid SIE Test Discount, Reliable SIE Dumps Free, SIE Exam Format

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q56-Q61):

NEW QUESTION # 56
Which of the following characteristics is true of open-end mutual fund shares?

  • A. They terminate and dissolve on an established date.
  • B. They are purchased by investors in the secondary market.
  • C. They are purchased by investors directly from the fund or through a broker-dealer offering the fund.
  • D. Their price is calculated intra-day based on the changing market value of the fund.

Answer: C

Explanation:
Open-end mutual funds do not trade on secondary markets. Instead, shares are continuously issued or redeemed by the fund at the net asset value (NAV), calculated at the market close.
* D is correctbecause investors purchase and redeem shares directly through the fund or authorized brokers.
* Ais incorrect because mutual funds do not have a predetermined dissolution date.
* Bis incorrect because mutual fund shares are priced at the NAV calculated once daily after the market closes.
* Cis incorrect because secondary market trading applies to closed-end funds and ETFs, not open-end mutual funds.


NEW QUESTION # 57
A registered representative who is terminated from a broker-dealer must notify FINRA of a residential address change for what period of time after termination?

  • A. Two years
  • B. Six years
  • C. Three years
  • D. One year

Answer: A

Explanation:
Step by Step Explanation:
* FINRA Rule 1122: Requires that registered representatives update their residential address with FINRA for two years post-termination.
* Purpose: This ensures accurate records for potential regulatory inquiries during the statutory two-year period when a terminated individual remains subject to FINRA's jurisdiction.
References:
* FINRA Rule 1122 (Filing False or Misleading Information): FINRA Rule 1122.


NEW QUESTION # 58
Under which of the following circumstances, if any, is a member firm permitted to send gifts to registered representatives (RRs) of another member firm?

  • A. Value of all gifts to an RR during a period of one year does not exceed $100
  • B. Under no circumstance
  • C. No single gift exceeds $100; no limit on the number of gifts
  • D. No single gift exceeds $100; maximum value of all gifts per RR per year is $200

Answer: A

Explanation:
FINRA Rule 3220 prohibits member firms from giving gifts exceeding $100 per individual per year to ensure that gifts do not influence business conduct. The rule applies to gifts given in connection with the firm's business.
* C is correctbecause it adheres to FINRA's $100 annual limit.
* Ais incorrect because the total value of gifts must also not exceed $100 annually.
* Bis incorrect as there is no $200 limit.
* Dis incorrect as gifts are allowed within the $100 limit.


NEW QUESTION # 59
Which of the following statements is true with regard to SIPC and FDIC?

  • A. Money market mutual funds are covered by the FDIC and are not covered by SIPC.
  • B. SIPC coverage is only for securities, and FDIC coverage is only for cash.
  • C. Securities held at broker-dealers are covered by the FDIC and are not covered by SIPC.
  • D. SIPC protects brokerage accounts, and FDIC protects bank deposits.

Answer: D

Explanation:
Step by Step Explanation:
* SIPC Coverage: Protects customers of brokerage firms against the loss of securities and cash due to broker-dealer insolvency, but it does not protect against market losses.
* FDIC Coverage: Protects bank deposits (checking, savings, CDs) up to $250,000 per depositor, per institution.
* Incorrect Options:
* A: SIPC covers both securities and cash held at brokerage firms (within limits).
* C & D: Money market mutual funds are not FDIC insured, and securities are not covered by the FDIC.
References:
* SIPC Overview: SIPC Coverage.
* FDIC Insurance: FDIC Coverage.


NEW QUESTION # 60
Which of the following responses accurately describes a secondary market transaction?

  • A. Buying securities directly from the issuing company
  • B. Buying securities on a registered securities exchange
  • C. Buying securities in a private placement from a broker-dealer
  • D. Buying open-end mutual fund shares

Answer: B

Explanation:
A secondary market transaction occurs when securities are bought and sold between investors, typically on an exchange.
* C is correctbecause securities purchased on a registered exchange are secondary market transactions.
* Ais incorrect as open-end mutual fund shares are purchased directly from the issuer.
* Brefers to the primary market.
* Dis also incorrect as private placements occur in the primary market.


NEW QUESTION # 61
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