SIE NEW REAL TEST & SIE EXAM LABS

SIE New Real Test & SIE Exam Labs

SIE New Real Test & SIE Exam Labs

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Tags: SIE New Real Test, SIE Exam Labs, SIE Lab Questions, SIE Valid Test Book, Downloadable SIE PDF

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FINRA SIE Exam Labs & SIE Lab Questions

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q148-Q153):

NEW QUESTION # 148
The formation of an asset-backed security or debt obligation that represents a claim on the cash flows from mortgage loans is known as:

  • A. Loan processing
  • B. Hypothecation
  • C. Claim processing
  • D. Securitization

Answer: D

Explanation:
Step by Step Explanation:
* Securitization: The process of pooling financial assets, such as mortgage loans, and creating asset- backed securities that investors can buy.
* Incorrect Options:
* B: Hypothecation refers to pledging assets as collateral.
* C & D: Loan and claim processing are administrative terms, not related to the creation of securities.
References:
* SEC Guidance on Asset-Backed Securities: SEC ABS Info.


NEW QUESTION # 149
Trades that settle within the period preset by regulators of the particular market are considered to have which of the following types of settlement?

  • A. Rolling
  • B. Cash
  • C. Next day
  • D. Regular way

Answer: D

Explanation:
"Regular way" settlement refers to the standard settlement cycle for securities transactions, which is T+2 for most stocks and bonds. This timeline is set by regulators to ensure orderly processing of trades.
* D is correctbecause regular way settlement follows the preset T+2 cycle.
* Ais incorrect because cash settlement occurs the same day as the trade.
* Bis not a recognized term for settlement types.
* Cis incorrect because next-day settlement applies only to specific securities (e.g., Treasury securities).


NEW QUESTION # 150
Pursuant to the Securities Act of 1933, registration is required for which of the following securities?

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

Answer: B

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 # 151
SIPC provides investor protection for its members' customers in which of the following situations?

  • A. Losses incurred on futures contracts due to fraud or negligence
  • B. Failure of a brokerage firm in the event of insolvency
  • C. Failure of a brokerage firm to meet customers' investment expectations
  • D. Losses greater than 10% due to systemic market decline

Answer: B

Explanation:
The Securities Investor Protection Corporation (SIPC) protects customers if a broker-dealer fails due to insolvency. Coverage applies to cash and securities in customer accounts, up to $500,000total, including
$250,000 for cash.
* A is correctbecause SIPC's purpose is to protect against losses arising from a broker-dealer's insolvency.
* Bis incorrect because SIPC does not guarantee investment performance.
* Cis incorrect because SIPC does not cover market losses.
* Dis incorrect because futures contracts are not covered under SIPC.


NEW QUESTION # 152
A broker-dealer (BD) is underwriting an initial public offering (IPO). According to industry rules, which of the following customers is eligible to participate in the IPO?

  • A. The BD's branch office manager's unemployed spouse
  • B. The chief financial officer of a fast-food chain, whose brother is a registered representative employed by the BD
  • C. An unregistered sales assistant employed by the BD
  • D. A customer of the BD who is the president of a local bank

Answer: D

Explanation:
FINRA Rule 5130 restricts participation in IPOs for certain individuals (e.g., restricted persons) to prevent potential conflicts of interest. Restricted persons include employees of broker-dealers and their immediate family members.
* C is correctbecause the president of a local bank is not considered a restricted person under FINRA Rule 5130.
* Ais incorrect because employees (registered or not) of broker-dealers are restricted.
* Bis incorrect because immediate family members of broker-dealer employees are restricted,even if unemployed.
* Dis incorrect because the immediate family of a registered representative is restricted.


NEW QUESTION # 153
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