EXAM SIE REVISION PLAN | PASS SIE TEST

Exam SIE Revision Plan | Pass SIE Test

Exam SIE Revision Plan | Pass SIE Test

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Tags: Exam SIE Revision Plan, Pass SIE Test, SIE Latest Material, Valid SIE Exam Tutorial, Valid SIE Guide Files

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q63-Q68):

NEW QUESTION # 63
Which of the following is a reportable obligation with respect to an individual's Form U4?

  • A. A speeding ticket
  • B. A change of residential address
  • C. A gambling-related misdemeanor charge
  • D. A change of business telephone number

Answer: C

Explanation:
Step by Step Explanation:
* Form U4 Reporting Requirements: Registered persons must disclose criminal charges (excluding minor traffic violations) and material changes such as residential address changes. Gambling-related misdemeanors are considered reportable.
* Incorrect Options:
* Speeding Ticket: Typically not reportable unless it involves a felony.
* Business Telephone Number: Not material for Form U4.
References:
* FINRA Form U4 Instructions: FINRA Form U4.


NEW QUESTION # 64
A customer wants to establish an account for the benefit of his grandchildren. He states to his registered representative that he wants to be able to control the distribution of the assets and direct how the account will be invested. Which of the following account types is most appropriate?

  • A. Trust
  • B. UTMA
  • C. 529 savings plan
  • D. Certificate of deposit (CD)

Answer: A

Explanation:
Step by Step Explanation:
* Trust Accounts: Provide the account owner (trustee) full control over distributions and investment decisions. Suitable for complex estate planning needs.
* Incorrect Options:
* UTMA: Transfers control to the minor upon reaching the age of majority.
* 529 Plan: Used for educational savings, with limited control over distributions.
* CD: A fixed-term deposit, not an account type for managing distributions.
References:
* SEC and FINRA Guidelines on Trusts: FINRA Trust Accounts.


NEW QUESTION # 65
Assuming yields are held constant, which of the following statements describes what will occur as a discount bond reaches maturity?

  • A. Its par value increases.
  • B. Its par value decreases.
  • C. Its price decreases.
  • D. Its price increases.

Answer: D

Explanation:
Step by Step Explanation:
* Discount Bonds: These are issued or traded below par value. Over time, their price moves closer to par as they approach maturity, assuming yields remain constant.
* Other Options:
* Par Value Changes: The par value of a bond does not change over time; only its price fluctuates.
References:
* SEC and FINRA Bond Basics: SEC Discount Bonds.


NEW QUESTION # 66
Which of the following statements describes a characteristic of exchange-traded funds (ETFs)?

  • A. ETFs are offered with front-end or back-end loads.
  • B. ETFs are purchased and sold daily at net asset value (NAV).
  • C. ETFs are not permitted to be purchased on margin.
  • D. ETF expense ratios are generally lower than those of mutual funds.

Answer: D

Explanation:
Step by Step Explanation:
* ETF Expense Ratios: ETFs generally have lower expense ratios compared to mutual funds due to their passive management style.
* Incorrect Options:
* A: ETFs do not have sales loads; they are traded like stocks.
* B: ETFs can be purchased on margin, like other equities.
* C: ETFs are traded throughout the day at market prices, not NAV.
References:
* SEC ETF Fact Sheet: SEC ETF Info.


NEW QUESTION # 67
A broker-dealer (BD) creates a marketing postcard that includes a statement regarding FINRA's endorsement of the BD. Which of the following responses is true?

  • A. The statement is permissible if the statement is approved in writing by FINRA prior to use.
  • B. The statement is permissible if the postcard does not discuss specific investment opportunities.
  • C. The statement is permissible if a principal of the BD approves it in writing prior to use.
  • D. The statement regarding FINRA's endorsement is not permissible.

Answer: D

Explanation:
Step by Step Explanation:
* FINRA Rule 2210: Firms are prohibited from suggesting or implying FINRA's endorsement or approval in any advertising materials.
* Approvals: Even if a principal or FINRA approves the content, such a statement remains impermissible.
* Key Point: FINRA's role is to regulate, not to endorse firms or their marketing.
References:
* FINRA Rule 2210 (Communications with the Public): FINRA Rule 2210.


NEW QUESTION # 68
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