QUIZ AUTHORITATIVE FINRA - SIE - VALID DUMPS SECURITIES INDUSTRY ESSENTIALS EXAM (SIE) FILES

Quiz Authoritative FINRA - SIE - Valid Dumps Securities Industry Essentials Exam (SIE) Files

Quiz Authoritative FINRA - SIE - Valid Dumps Securities Industry Essentials Exam (SIE) Files

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Tags: Valid Dumps SIE Files, SIE Certification Dump, SIE Related Certifications, Valid Test SIE Fee, SIE Valid Exam Topics

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q111-Q116):

NEW QUESTION # 111
Which of the following characteristics is true of open-end mutual fund shares?

  • A. They are purchased by investors directly from the fund or through a broker-dealer offering the fund.
  • B. They are purchased by investors in the secondary market.
  • C. They terminate and dissolve on an established date.
  • D. Their price is calculated intra-day based on the changing market value of the fund.

Answer: A

Explanation:
Open-end mutual funds do not trade on secondary markets. Instead, shares are continuously issued or redeemed by the fund at the net asset value (NAV), calculated at the market close.
* D is correctbecause investors purchase and redeem shares directly through the fund or authorized brokers.
* Ais incorrect because mutual funds do not have a predetermined dissolution date.
* Bis incorrect because mutual fund shares are priced at the NAV calculated once daily after the market closes.
* Cis incorrect because secondary market trading applies to closed-end funds and ETFs, not open-end mutual funds.


NEW QUESTION # 112
A rating agency downgrades a corporation's credit rating. Which of the following effects is this action most likely to have on the yield and price of the corporation's outstanding bonds?

  • A. Yield will fall; price will fall.
  • B. Yield will fall; price will rise.
  • C. Yield will rise; price will fall.
  • D. Yield will rise; price will rise.

Answer: C

Explanation:
Step by Step Explanation:
* Credit Downgrade: Increases perceived risk, causing bond prices to drop and yields to rise.
* Yield-Price Relationship: Yields move inversely to bond prices. Lower prices lead to higher yields as investors demand more return for increased risk.
References:
* SEC Guidance on Bond Ratings: SEC Bond Ratings.


NEW QUESTION # 113
Which of the following responses describes a FINRA member?

  • A. A BD regulated by a national securities association
  • B. A natural person who is employed by a broker-dealer (BD)
  • C. An associated person of a registered brokerage firm
  • D. A registered representative with a national securities exchange

Answer: A

Explanation:
A FINRA member is a broker-dealer that is registered with FINRA and regulated by a national securities association. Individuals employed by the member firm (e.g., registered representatives) are associated persons, not members themselves.
* D is correctbecause FINRA membership applies to broker-dealers, not individuals.
* A,B, andCare incorrect because they refer to individuals or roles within member firms, not the firms themselves.


NEW QUESTION # 114
Which of the following risks are associated with Treasury securities?

  • A. Interest rate risk
  • B. Liquidity risk
  • C. Prepayment risk
  • D. Credit risk

Answer: A

Explanation:
Step by Step Explanation:
* Interest Rate Risk: Treasury securities are sensitive to changes in interest rates. When rates rise, Treasury prices fall, exposing investors to price risk.
* Incorrect Options:
* Credit Risk: Virtually nonexistent for Treasuries, as they are backed by the U.S. government.
* Liquidity Risk: Treasuries are highly liquid.
* Prepayment Risk: Applies to mortgage-backed securities, not Treasuries.
References:
* SEC Bond Risk Disclosures: SEC Treasury Risks.


NEW QUESTION # 115
Which of the following responses describes a warrant?

  • A. The right to purchase a specified amount of shares
  • B. An interest-paying security
  • C. A fixed-income security issued by a state or municipality
  • D. Redemption rights for a debt instrument

Answer: A

Explanation:
Step by Step Explanation:
* Warrants: These are long-term options issued by a company that give the holder the right to buy shares at a specific price before expiration. They are typically attached to bond or stock offerings to make them more attractive.
* Incorrect Options:
* A: Warrants do not pay interest.
* B: Refers to callable bonds, not warrants.
* D: Describes municipal bonds, not warrants.
References:
* SEC Guide to Warrants and Options: SEC Warrants Information.


NEW QUESTION # 116
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