Finra braindumps2go sie Leak Questions by Minahil q33 vce pdf

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Exam Name:	Securities Industry Essentials Exam (SIE)
Exam Code:	SIE Dumps
Vendor:	FINRA	Certification:	General Securities Representative
Questions:	266 Q&A's	Shared By:	minahil

Question 68

When exercised, an option written on which of the following items must be settled in cash?

Options:

Equity index

Preferred stock

Master limited partnership

Exchange-traded funds (ETFs)

Discussion

Question 69

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

Options:

Securitization

Hypothecation

Loan processing

Claim processing

Discussion

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Question 70

Which of the following entitles is primarily responsible for providing Internal settlement, accounting and tax support services for securities owned by an investment company?

Options:

Custodian

Market maker

Broker-dealer

Fund manager

Discussion

Question 71

An investor wants to purchase additional mutual fund shares with income distributed by the fund. Which of the following fund options permits this?

Options:

Asset reallocation

Dollar cost averaging

Dividend reinvestment