최신 SIE 무료덤프 - FINRA Securities Industry Essentials Exam (SIE)

문제1

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. Only closing transactions are permitted.

B. The customer is barred from trading for 30 days.

C. The customer's account is frozen for 90 days.

D. All related accounts are frozen for 90 days.

정답: C

설명: (DumpTOP 회원만 볼 수 있음)

문제2

According to FINRA rules, under which of the following circumstances, if any, is a member firm permitted to send gifts to a registered representative of another member firm?

A. When no single gift exceeds $100 and there is no limit on the number of gifts

B. Under no circumstances

C. When no single gift exceeds $100 in value and the maximum value of all gifts per year equals $250

D. When the value of all gifts during a period of one year does not exceed $100

정답: D

설명: (DumpTOP 회원만 볼 수 있음)

문제3

When the index level and strike price of a listed index option are the same, the option is:

A. In the money.

B. At the money.

C. Trading at intrinsic value only.

D. Out of the money.

정답: B

설명: (DumpTOP 회원만 볼 수 있음)

문제4

SIPC provides investor protection for its members' customers in which of the following situations?

A. Failure of a brokerage firm to meet customers' investment expectations

B. Losses incurred on futures contracts due to fraud or negligence

C. Failure of a brokerage firm in the event of insolvency

D. Losses greater than 10% due to systemic market decline

정답: C

설명: (DumpTOP 회원만 볼 수 있음)

문제5

Under the Investment Company Act of 1940, which of the following products are considered redeemable securities?

A. Shares issued by a closed-end investment company

B. Short-term paper

C. Master limited partnerships

D. Shares of unit investment trusts (UITs) purchased through a public offering

정답: D

설명: (DumpTOP 회원만 볼 수 있음)

문제6

A registered representative wants to open an account for himself at a different financial institution. Under FINRA rules, which of the following accounts requires prior written consent from his employing broker- dealer?

A. Mutual fund accounts held directly with the fund company

B. A 529 savings plan account established for his grandchild

C. Variable contracts registered under the Investment Company Act

D. An investment advisory account in which securities transactions are effected

정답: D

설명: (DumpTOP 회원만 볼 수 있음)

문제7

Which of the following account registration types is subject to probate upon the death of the account owner?

A. Individual

B. Joint tenants with right of survivorship (JTWROS)

C. Irrevocable trust

D. Transfer-on-death (TOD)

정답: A

설명: (DumpTOP 회원만 볼 수 있음)

문제8

Which of the following responses describes treasury stock?

A. Authorized but unissued stock

B. Stock subsequently reacquired by the issuer

C. U.S. government securities held by a corporation

D. Restricted stock owned by officers

정답: B

설명: (DumpTOP 회원만 볼 수 있음)

문제9

Which of the following statements best describes a characteristic of 529 savings plan accounts?

A. There are no contribution limits to the account.

B. The number of contributors to the account is limited.

C. Using funds for undergraduate or graduate studies is permissible.

D. Earnings are taxed to the donor at the time of a qualified withdrawal.

정답: C

설명: (DumpTOP 회원만 볼 수 있음)

문제10

Which of the following statements is true with regard to SIPC and FDIC?

A. SIPC protects brokerage accounts, and FDIC protects bank deposits.

B. SIPC coverage is only for securities, and FDIC coverage is only for cash.

C. Money market mutual funds are covered by the FDIC and are not covered by SIPC.

D. Securities held at broker-dealers are covered by the FDIC and are not covered by SIPC.

정답: A

설명: (DumpTOP 회원만 볼 수 있음)

최신 SIE 무료덤프 - FINRA Securities Industry Essentials Exam (SIE)

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