SIE NEW EXAM CAMP & LATEST SIE EXAM REVIEW

SIE New Exam Camp & Latest SIE Exam Review

SIE New Exam Camp & Latest SIE Exam Review

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q143-Q148):

NEW QUESTION # 143
A customer is unhappy about a $5,000 loss in a stock that the registered representative (RR) recommended and threatens to call FINRA's Securities Helpline for Seniors about the matter. What is the most appropriate next step for the RR to take?

  • A. The RR is permitted to reimburse the customer for the loss to resolve the customer's complaint.
  • B. The RR should call FINRA's Securities Helpline for Seniors before the customer does and explain their side of the story.
  • C. The RR should alert their compliance department to update their Form U4 with the complaint details.
  • D. The RR should notify their supervisor about the customer's dissatisfaction.

Answer: D

Explanation:
Step by Step Explanation:
* Escalation Requirement: The RR must promptly notify their supervisor or compliance department about the customer's complaint as required by FINRA rules. Supervisors handle customer complaints according to firm procedures.
* Incorrect Options:
* B: Reimbursing the customer is not permissible without firm approval and may create compliance issues.
* C: Complaints requiring Form U4 updates involve specific allegations such as fraud, not general dissatisfaction.
* D: The RR should not contact FINRA directly; the firm will handle communications.
References:
* FINRA Rule 4530 (Reporting Requirements): FINRA Rule 4530.


NEW QUESTION # 144
Publicly traded limited partnership interests are typically considered:

  • A. Derivative investments
  • B. Equity securities
  • C. Mutual funds
  • D. Fixed-income securities

Answer: B

Explanation:
Step by Step Explanation:
* Publicly Traded Limited Partnerships (PTPs): Represent ownership stakes, which categorize them as equity securities. PTPs often involve sectors like real estate or energy.
* Incorrect Options:
* A: Mutual funds are pooled investment vehicles, not partnerships.
* C: Fixed-income securities are debt instruments like bonds.
* D: Derivatives include options or futures, not ownership stakes.
References:
* SEC Guidance on Publicly Traded Partnerships: SEC PTPs.


NEW QUESTION # 145
If an investor is bullish on ABC, which of the following actions will he most likely take?

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

Answer: B

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 # 146
Which of the following entities issues certificates of deposit (CDs)?

  • A. Banks
  • B. FDIC
  • C. Federal Reserve
  • D. Broker-dealers

Answer: A

Explanation:
Certificates of Deposit (CDs) are time deposit accounts issued by banks, offering fixed interest rates for a specified term. CDs are insured by the FDIC up to $250,000 per depositor, but the issuing entity is the bank itself.
* B is correctbecause banks issue CDs.
* Ais incorrect because the FDIC insures CDs but does not issue them.
* Cis incorrect because broker-dealers may facilitate the purchase of CDs but do not issue them.
* Dis incorrect because the Federal Reserve does not issue CDs; it manages monetary policy.


NEW QUESTION # 147
Pursuant to the Securities Act of 1933, registration is required for which of the following securities?

  • A. Municipal securities
  • B. U.S. government issues
  • C. Private placements
  • D. Open-end investment companies

Answer: D

Explanation:
The Securities Act of 1933 requires securities offered to the public to be registered with the SEC unless they qualify for an exemption. Open-end investment companies (mutual funds) are not exempt and must register.
* D is correctbecause mutual funds are publicly offered and require registration.
* Ais incorrect because private placements are exempt under Regulation D.
* Bis incorrect because municipal securities are exempt under Section 3(a)(2).
* Cis incorrect because U.S. government securities are also exempt under Section 3(a)(2).


NEW QUESTION # 148
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