REAL SIE DUMPS FREE & SIE RELIABLE MOCK TEST

Real SIE Dumps Free & SIE Reliable Mock Test

Real SIE Dumps Free & SIE Reliable Mock Test

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Tags: Real SIE Dumps Free, SIE Reliable Mock Test, Reliable SIE Test Bootcamp, Exam SIE Topics, Valid SIE Study Notes

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FINRA SIE Exam Syllabus Topics:

TopicDetails
Topic 1
  • 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.
Topic 2
  • 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 3
  • 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.
Topic 4
  • 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 Securities Industry Essentials Exam (SIE) Sample Questions (Q50-Q55):

NEW QUESTION # 50
Offering 403(b) tax-sheltered annuity accounts to which of the following groups is permissible?

  • A. Volunteer workers
  • B. Employees of a nonprofit hospital
  • C. Small business owners
  • D. Active duty military personnel

Answer: B


NEW QUESTION # 51
A bond with a par value of $1,000 that is backed by the taxing power of a local government is known as:

  • A. A general obligation (GO) bond
  • B. A revenue bond
  • C. A Treasury bond
  • D. A corporate bond

Answer: A

Explanation:
Step by Step Explanation:
* General Obligation (GO) Bonds: Backed by the full faith and credit of the issuing municipality, relying on its taxing power for repayment.
* Revenue Bonds: Supported by revenues from a specific project or source.
* Treasury Bonds: Issued by the federal government.
* Corporate Bonds: Issued by corporations, not municipalities.
References:
* SEC Municipal Bond Guide: SEC GO Bonds.


NEW QUESTION # 52
Which of the following disclosures is a municipal securities dealer required to provide its customers once every calendar year?

  • A. The firm's financial standing
  • B. The firm's address
  • C. FINRA violations of all registered representatives
  • D. The location and availability of the MSRB investor brochure

Answer: D

Explanation:
Step by Step Explanation:
* MSRB Rule G-10: Requires municipal securities dealers to notify customers annually about the availability of the MSRB investor brochure, which explains investor protections and complaint filing procedures.
* Incorrect Options:
* A and B: Address and financial standing are not specifically required disclosures.
* C: FINRA violations are not a required disclosure under MSRB rules.
References:
* MSRB Rule G-10 (Investor Brochure Requirement): MSRB Rule G-10.


NEW QUESTION # 53
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 expected to price in early February.
  • B. A recent industry report supports the company's valuation.
  • C. The IPO is being underwritten by Bank ABC and Bank DEF.
  • D. The road show will be held February 6-10 in New York and Boston.

Answer: B

Explanation:
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.


NEW QUESTION # 54
If an investor is bullish on ABC, which of the following actions will he most likely take?

  • A. Sell ABC calls
  • B. Sell ABC stock short
  • C. Buy ABC puts
  • D. Buy ABC stock

Answer: D

Explanation:
Step by Step Explanation:
* Bullish Position: Buying ABC stock aligns with the expectation that the stock's price will rise, allowing the investor to profit.
* Incorrect Options:
* A: Buying puts is a bearish strategy.
* C: Selling calls benefits from stable or declining prices.
* D: Selling short is a bearish strategy anticipating a price drop.
References:
* FINRA Guidance on Market Strategies: FINRA Trading Basics.


NEW QUESTION # 55
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