SIE PDF QUESTION | VCE SIE FILES

SIE PDF Question | Vce SIE Files

SIE PDF Question | Vce SIE Files

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Tags: SIE PDF Question, Vce SIE Files, Reliable SIE Test Price, SIE PDF Guide, Cert SIE Exam

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q150-Q155):

NEW QUESTION # 150
A customer will be out of the country for the next two months on business and asks his firm to hold his mail until he returns. Which of the following statements is true regarding this request?

  • A. At the discretion of the RR, the firm is permitted to hold the customer's mail provided it takes reasonable actions to ensure no tampering occurs with this mail.
  • B. The firm must receive written instructions from the customer that include the time period for the requested mail hold.
  • C. The firm is permitted to hold the mail as long as the registered representative (RR) complies with the customer's oral instructions.
  • D. The firm is prohibited from holding the customer's mail under FINRA rules due to the personal information contained.

Answer: B

Explanation:
Step by Step Explanation:
* FINRA Rule 3150: Permits firms to hold customer mail only with written instructions specifying the duration, which cannot exceed three months unless there are exceptional circumstances.
* Incorrect Options:
* A: Holding mail is not prohibited if done in compliance with FINRA rules.
* C & D: Oral instructions or RR discretion are not sufficient; written authorization is mandatory.
References:
* FINRA Rule 3150 (Holding of Customer Mail): FINRA Rule 3150.


NEW QUESTION # 151
Which of the following transactions gives a U.S. citizen the most efficient means to invest in the stock of an overseas corporation that trades only on a foreign exchange?

  • A. Purchase a U.S.-based mutual fund that invests in foreign stocks
  • B. Purchase an ETF on the foreign exchange
  • C. Purchase an American Depositary Receipt (ADR) on a domestic exchange
  • D. Purchase an option on the stock on a domestic exchange

Answer: C

Explanation:
American Depositary Receipts (ADRs) allow U.S. investors to efficiently invest in foreign corporations without the need to trade on foreign exchanges. ADRs are traded on U.S. exchanges and represent shares of foreign companies.
* D is correctbecause ADRs are designed for this purpose, simplifying currency exchange and reporting requirements for U.S. investors.
* Ais incorrect because directly purchasing an ETF on a foreign exchange requires additional steps, such as foreign account setup.
* Bis incorrect because options are derivative products, not direct investments in the stock.
* Cis less efficient because mutual funds may not provide direct exposure to the specific corporation.


NEW QUESTION # 152
On settlement date, a customer is unable to pay for a purchase in his cash account. His position is liquidated.
Which of the following statements is true according to Federal Reserve Regulation T?

  • A. All related accounts are frozen for 90 days.
  • B. Only closing transactions are permitted.
  • C. The customer's account is frozen for 90 days.
  • D. The customer is barred from trading for 30 days.

Answer: C

Explanation:
Federal Reserve Regulation T mandates that customers must pay for purchases in a cash account within two business days of settlement (T+4). If payment is not made, the brokerage firm must liquidate the securities and place the account on a 90-day restriction.
* C is correctbecause the customer's account is frozen for 90 days, during which all trades must be paid for in advance.
* Ais incorrect as closing transactions are still permitted but require prepayment.
* Bis incorrect because the restriction lasts for 90 days, not 30.
* Dis incorrect as only the delinquent account, not related accounts, is frozen.


NEW QUESTION # 153
The primary market is regulated by the SEC under which of the following acts?

  • A. The Investment Advisers Act of 1940
  • B. The Investment Company Act of 1940
  • C. The Securities Act of 1933
  • D. The Securities Exchange Act of 1934

Answer: C

Explanation:
The primary market deals with the issuance of new securities, which is regulated under the Securities Act of
1933. This act requires issuers to provide full disclosure of material information to investors to ensure transparency and fairness in new offerings.
* A is correctbecause the Securities Act of 1933 governs initial offerings.
* Bis incorrect because the Securities Exchange Act of 1934 regulates secondary market trading.
* Cis incorrect because the Investment Advisers Act of 1940 pertains to investment advisers.
* Dis incorrect because the Investment Company Act of 1940 governs mutual funds and other investment companies.


NEW QUESTION # 154
Class A and Class C shares of a mutual fund differ in which of the following ways?

  • A. The underlying investments
  • B. The net asset value (NAV)
  • C. The expense ratio
  • D. When the customer is permitted to purchase

Answer: C

Explanation:
Step by Step Explanation:
* Expense Ratio: Class A shares typically have lower ongoing expense ratios but higher front-end sales charges. Class C shares often have higher ongoing expense ratios but no front-end charges.
* Incorrect Options:
* B: NAV is determined daily and does not vary by share class.
* C: All share classes invest in the same underlying portfolio.
* D: Purchase timing is the same for all share classes.
References:
* SEC Guidance on Mutual Fund Share Classes: SEC Fund Classes.


NEW QUESTION # 155
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