Finra 2cram all Sie Test Inside Finra Questions by Paddy q98 vce pdf

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Exam Name:	Securities Industry Essentials Exam (SIE)
Exam Code:	SIE Dumps
Vendor:	FINRA	Certification:	General Securities Representative
Questions:	410 Q&A's	Shared By:	paddy

Question 56

A customer has a stock position that has increased in value since the time he purchased it. Which of the following terms describes his current situation?

Options:

Interest income

Unrealized gain

Operating profit

Out of the money

Discussion

Question 57

Under FINRA rules, If a customer sells shares In an Investment company that Includes a contingent deferred sales charge (CDSC) on redemptions, in which of the following ways must the deferred sales charge be reported to the customer?

Options:

In writing, at the time of redemption

On the trade confirmation

On the broker-dealer ' s website

On the customer ' s account statement

Discussion

Question 58

Which of the following statements concerning nonqualified deferred compensation plans is true?

Options:

They are governed by ERISA rules.

Such plans must be reviewed with the IRS.

The deferred compensation must be held in escrow at a bank.

A failure of the business could lead to nonpayment of the deferred compensation.

Discussion

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Question 59

Publicly traded limited partnership interests are typically considered:

Options:

Mutual funds

Equity securities

Fixed-income securities

Derivative investments