FIRST-HAND SIE HOTTEST CERTIFICATION - FINRA SIE VALID EXAM REVIEW: SECURITIES INDUSTRY ESSENTIALS EXAM (SIE)

First-hand SIE Hottest Certification - FINRA SIE Valid Exam Review: Securities Industry Essentials Exam (SIE)

First-hand SIE Hottest Certification - FINRA SIE Valid Exam Review: Securities Industry Essentials Exam (SIE)

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q101-Q106):

NEW QUESTION # 101
The financial risk that a given security is not readily tradable in the market without impacting the market price is known as:

  • A. Credit risk
  • B. Prepayment risk
  • C. Liquidity risk
  • D. Market risk

Answer: C

Explanation:
Step by Step Explanation:
* Liquidity Risk: Refers to the difficulty of selling a security quickly without significantly affecting its price. This is common in thinly traded securities or complex instruments.
* Other Risks:
* Credit Risk: Relates to the possibility of default by the issuer.
* Market Risk: Pertains to overall price changes due to market conditions.
* Prepayment Risk: Associated with mortgage-backed securities and early repayment of loans.
References:
* SEC Investor Bulletin on Risks: SEC Risk Guidance.


NEW QUESTION # 102
Which of the following terms describes failure to honor a firm quote?

  • A. Freeriding
  • B. Market manipulation
  • C. Backing away
  • D. Interpositioning

Answer: C

Explanation:
Step by Step Explanation:
* Backing Away: Refers to the failure of a market maker to honor a firm quote when a customer attempts to trade at that price. It is a violation of market rules.
* Incorrect Options:
* Freeriding: Involves selling securities before paying for them in a cash account.
* Interpositioning: Involves unnecessary intermediaries in trades, which can harm customers.
* Market Manipulation: Covers a range of deceptive practices, such as wash trading or spoofing, not specific to honoring quotes.
References:
* FINRA Rule 5220 (Firm Quote Rule): FINRA Rule 5220.


NEW QUESTION # 103
Which of the following responses best describes how member firms are required to retain electronic correspondence and internal communications of associated persons?

  • A. In hard copy
  • B. In the firm's cloud storage
  • C. On the firm's server
  • D. In a non-rewriteable format

Answer: D

Explanation:
FINRA Rule 4511 requires member firms to retain records, including electronic communications, in anon- rewriteable, non-erasable format(often referred to as WORM: Write Once, Read Many). This ensures that records cannot be altered or deleted once stored.
* D is correctbecause firms must store records in a tamper-proof format.
* A,B, andCare incorrect because these formats do not guarantee compliance with the tamper-proof requirements set forth by FINRA and the SEC.


NEW QUESTION # 104
How does an individual acquire restricted stock?

  • A. By participating in an SEC Regulation D offering
  • B. By exercising an option for exchange-traded calls
  • C. By exercising publicly traded warrants
  • D. By participating in an initial public offering (IPO)

Answer: A

Explanation:
Restricted stock refers to securities acquired through private placements, such as those offered under Regulation D. These securities are not registered with the SEC and are subject to holding period restrictions before resale.
* A is correctbecause Regulation D offerings involve private placements, resulting in restricted stock.
* Bis incorrect because IPOs involve publicly traded shares, not restricted stock.
* CandDare incorrect because restricted stock is not obtained through warrants or exchange-traded options.


NEW QUESTION # 105
How long are unused funds permitted to remain in a Coverdell education savings account?

  • A. All funds must be distributed when the beneficiary's age reaches 21 years old.
  • B. All funds must be distributed when the beneficiary's age reaches 59 ½ years old.
  • C. There is no age limit preventing funds from remaining in a beneficiary's account.
  • D. All funds must be distributed when the beneficiary's age reaches 30 years old.

Answer: D

Explanation:
Coverdell Education Savings Accounts (ESAs) require that all funds be distributed by the time the beneficiary reaches 30 years old. If the funds are not used for qualified educational expenses, they may be subject to taxes and penalties.
* B is correctbecause funds must be distributed by age 30 unless transferred to another eligible family member.
* Ais incorrect as age 21 is not relevant for Coverdell ESAs.
* Cis incorrect because age 59 ½ applies to retirement accounts like IRAs.
* Dis incorrect because there is a distribution deadline for Coverdell accounts.


NEW QUESTION # 106
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