FREE DOWNLOAD EXAM SIE PASS4SURE & LEADER IN QUALIFICATION EXAMS & EFFICIENT SIE: SECURITIES INDUSTRY ESSENTIALS EXAM (SIE)

Free Download Exam SIE Pass4sure & Leader in Qualification Exams & Efficient SIE: Securities Industry Essentials Exam (SIE)

Free Download Exam SIE Pass4sure & Leader in Qualification Exams & Efficient SIE: Securities Industry Essentials Exam (SIE)

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q84-Q89):

NEW QUESTION # 84
A municipal securities dealer makes a political contribution of $990 to a local mayoral candidate. At the end of the quarter, to whom, if anyone, must the dealer report the contribution?

  • A. FINRA
  • B. MSRB
  • C. SEC
  • D. No disclosure required as the amount is below the reporting threshold

Answer: B

Explanation:
Step by Step Explanation:
* MSRB Rule G-37: Requires municipal securities dealers to report contributions to the MSRB, even if the amount is below the $1,000 threshold that would trigger a two-year prohibition on municipal business.
* Incorrect Options:
* SEC and FINRA: Not involved in reporting political contributions for municipal securities.
References:
* MSRB Rule G-37 (Political Contributions): MSRB Rule G-37.


NEW QUESTION # 85
Which of the following statements is true regarding the SEC's characterization of a registration statement that has just been made effective?

  • A. The SEC has determined that no material information has been omitted.
  • B. The SEC has approved the security being offered for sale.
  • C. The SEC has found the information presented to be true and accurate.
  • D. The SEC has not passed judgment on the merits of the security being offered for sale.

Answer: D

Explanation:
Step by Step Explanation:
* SEC Registration Statements: The SEC reviews registration statements for completeness and compliance but does not judge the merits, approve, or endorse the securities being offered.
* Other Options:
* A, B, and C: Misrepresent the SEC's role in the registration process.
References:
* SEC Bulletin on Registration Statements: SEC Registration Process.


NEW QUESTION # 86
Shares in a private investment in public equity (PIPE) offering are priced:

  • A. Above the current market value per share.
  • B. At the public offering price (POP) as determined by the underwriters.
  • C. Below the current market value per share.
  • D. At the current market value per share.

Answer: C

Explanation:
Step by Step Explanation:
* PIPE Offerings: Typically priced below the current market value to incentivize institutional investors to participate in these transactions.
* Discount: The discounted price compensates for the potential illiquidity and risk associated with PIPE offerings.
* POP/Market Value: These do not apply to private offerings structured as PIPE transactions.
References:
* SEC PIPE Offering Guidance: SEC PIPE Offerings.


NEW QUESTION # 87
A customer purchases 100 shares of stock on Thursday, August 2. This transaction must settle regular way no later than:

  • A. Tuesday, August 7
  • B. Monday, August 6
  • C. Wednesday, August 8
  • D. Friday, August 3

Answer: B

Explanation:
Step by Step Explanation:
* Regular-Way Settlement: For equity securities, settlement occurs on a T+2 basis, meaning two business days after the trade date.
* Calculation:
* Trade Date (T): Thursday, August 2.
* T+2 Settlement: Excludes weekends, so settlement falls on Monday, August 6.
* Incorrect Options:
* A: Reflects T+1, not the correct settlement cycle.
* C & D: Extend beyond the standard T+2 cycle.
References:
* FINRA and SEC Settlement Rules: SEC Settlement Rules.


NEW QUESTION # 88
Which of the following types of accounts permits an investor to borrow money from a broker-dealer to help pay for a trade?

  • A. Cash
  • B. An individual retirement account (IRA)
  • C. Margin
  • D. Delivery versus payment (DVP) / receive versus payment (RVP)

Answer: C

Explanation:
Step by Step Explanation:
* Margin Accounts: Allow investors to borrow funds to purchase securities, with the securities serving as collateral for the loan.
* Cash Accounts: Require full payment for securities purchased.
* IRAs: Do not permit borrowing due to their tax-advantaged status.
* DVP/RVP: Settlement mechanisms, not account types for borrowing.
References:
* FINRA Rule 4210 (Margin Requirements): FINRA Rule 4210.


NEW QUESTION # 89
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