SIE STUDY GUIDES, SIE EXAM TORRENT

SIE Study Guides, SIE Exam Torrent

SIE Study Guides, SIE Exam Torrent

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FINRA SIE Questions - SIE PDF Dumps [2025]

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q160-Q165):

NEW QUESTION # 160
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. Under no circumstances
  • B. When no single gift exceeds $100 in value and the maximum value of all gifts per year equals $250
  • C. When no single gift exceeds $100 and there is no limit on the number of gifts
  • D. When the value of all gifts during a period of one year does not exceed $100

Answer: D

Explanation:
Step by Step Explanation:
* FINRA Rule 3220: This rule limits gifts to $100 per person annually to prevent conflicts of interest.
* Aggregate Limit: There is no provision for exceeding the $100 annual limit, regardless of the number of gifts.
* Purpose: The rule ensures that gifts do not influence decisions or create unethical relationships.
References:
* FINRA Rule 3220 (Influencing or Rewarding Employees of Others): FINRA Rule 3220.


NEW QUESTION # 161
Company ABC stock currently trades on an exchange. An ABC insider wants to sell a large number of shares of her privately held ABC stock. ABC files the necessary paperwork to register the shares, but the insider decides to wait and sell the stock at a later date. Which of the following terms best describes the type of offering that is occurring in this situation?

  • A. A secondary offering
  • B. A private offering
  • C. A rights offering
  • D. An exempt offering

Answer: A

Explanation:
Step by Step Explanation:
* Secondary Offering: Involves the sale of shares by an existing shareholder, such as an insider, rather than the company itself issuing new shares.
* Incorrect Options:
* A: Rights offerings involve giving existing shareholders the opportunity to buy additional shares.
* B: Private offerings are not registered with the SEC and involve limited investors.
* C: An exempt offering refers to securities exempt from SEC registration, such as Regulation D offerings.
References:
* SEC Guide on Secondary Offerings: SEC Secondary Offerings.


NEW QUESTION # 162
Which of the following responses describes a warrant?

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

Answer: C

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 # 163
Which of the following responses describes a collateralized mortgage obligation (CMO) tranche?

  • A. The method of underwriting used by the issuer to securitize the loans in the portfolio
  • B. The yield a customer should expect if the CMO is held to maturity
  • C. The estimated average life of the CMO expressed in years and months
  • D. A slice of the investment representing a coupon rate, maturity date, and credit rating

Answer: D

Explanation:
CMOs are divided into tranches, which are portions of the pool of mortgage-backed securities. Each tranche has its own characteristics, including coupon rate, maturity date, and credit rating, tailored to meet the needs of different investors.
* C is correctbecause tranches represent slices of the investment with specific terms.
* Ais incorrect because the yield depends on prepayment rates and interest rate changes.
* Bis incorrect as average life is an estimate, not a defining characteristic of a tranche.
* Dis incorrect because underwriting is unrelated to the definition of a tranche.


NEW QUESTION # 164
Assuming yields are held constant, which of the following statements describes what will occur as a discount bond reaches maturity?

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

Answer: C

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 # 165
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