SIE LATEST TEST VCE | EXAM SIE REVIEWS

SIE Latest Test Vce | Exam SIE Reviews

SIE Latest Test Vce | Exam SIE Reviews

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q21-Q26):

NEW QUESTION # 21
A hypothecation agreement gives the broker-dealer the right to engage in which of the following activities?

  • A. Sharing customers' nonpublic personal information with nonaffiliated third parties
  • B. Selling a customer's securities when the customer has failed to pay for trades in a cash account
  • C. Entering trades in a customer's account without prior authorization from the customer
  • D. Using securities that a customer has bought on margin as collateral to obtain a loan from a bank

Answer: D

Explanation:
Step by Step Explanation:
* Hypothecation Agreement: Required for margin accounts, it authorizes the broker-dealer to use the customer's margin securities as collateral to secure loans for funding customer transactions.
* Incorrect Options:
* A: Sharing customer information is regulated under privacy rules (Regulation S-P).
* B: Unauthorized trading violates securities laws.
* C: Selling unpaid securities in cash accounts pertains to Regulation T, not hypothecation agreements.
References:
* FINRA Margin Account Rules: FINRA Rule 4210.


NEW QUESTION # 22
Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities, which of the following conditions must be met?

  • A. The shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.
  • B. The issuer must notify FINRA of the proposed sale by submitting a Form 144.
  • C. The affiliate must have a holding period of six months.
  • D. The company must be traded on a listed stock exchange.

Answer: C

Explanation:
Step by Step Explanation:
* Rule 144 Holding Period: Restricted securities held by affiliates require a six-month holding period before sale, provided the issuer is subject to SEC reporting requirements.
* Other Options:
* Notification to FINRA (C) is incorrect; Form 144 is submitted to the SEC, not FINRA.
* The 10% ADTV limitation (D) applies to the volume of shares sold, not the conditions for sale.
References:
* SEC Rule 144 (Selling Restricted Securities): SEC Rule 144.


NEW QUESTION # 23
An individual investor has $300,000 in cash and $400,000 in securities held with a financially troubled SIPC member firm for which liquidation has begun. The individual investor's cash is protected for what amount?

  • A. $250,000
  • B. $700,000
  • C. $150,000
  • D. $300,000

Answer: A

Explanation:
Step by Step Explanation:
* SIPC Coverage Limits: Protects up to $500,000 per customer, including a maximum of $250,000 for cash.
* In this case, $300,000 in cash exceeds the SIPC limit, so only $250,000 is protected.
* Incorrect Options:
* A: $150,000 understates the SIPC limit for cash.
* C: The full $300,000 in cash is not protected.
* D: Total coverage exceeds SIPC limits.
References:
* SIPC Coverage Details: SIPC Protection.


NEW QUESTION # 24
Which of the following is the primary risk of using asset allocation models without periodic rebalancing?

  • A. Overweighting
  • B. Marketability
  • C. Interest rate risk
  • D. Inflation

Answer: A

Explanation:
Step by Step Explanation:
* Rebalancing: Ensures that a portfolio remains aligned with its target allocation. Without rebalancing, outperforming assets can become overweighted, increasing exposure to specific risks.
* Incorrect Options:
* Inflation: Impacts purchasing power but isn't tied to rebalancing.
* Marketability: Refers to liquidity and isn't linked to allocation models.
* Interest Rate Risk: Relates to fixed-income investments and isn't directly addressed by allocation models.
References:
* SEC Investor Bulletin on Asset Allocation: SEC Asset Allocation.


NEW QUESTION # 25
Rising economic activity is most likely to increase revenues of which of the following sectors?

  • A. Consumer discretionary
  • B. Healthcare
  • C. Utilities
  • D. Consumer staples

Answer: A

Explanation:
Step by Step Explanation:
* Consumer Discretionary Sector: Includes products and services that are not essential, such as luxury items, travel, and entertainment. Revenues increase as disposable income rises during economic expansion.
* Consumer Staples and Utilities: These sectors are defensive and less impacted by economic cycles.
* Healthcare: Also less correlated with economic cycles due to its essential nature.
References:
* SEC and FINRA Guidance on Sectors: Investopedia Sector Overview.


NEW QUESTION # 26
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