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FINRA Updated SIE Exam Questions and Answers by minahil

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FINRA SIE Exam Overview :

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:

A.

Equity index

B.

Preferred stock

C.

Master limited partnership

D.

Exchange-traded funds (ETFs)

Discussion
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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:

A.

Securitization

B.

Hypothecation

C.

Loan processing

D.

Claim processing

Discussion
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:

A.

Custodian

B.

Market maker

C.

Broker-dealer

D.

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:

A.

Asset reallocation

B.

Dollar cost averaging

C.

Dividend reinvestment

D.

Capital gains reinvestment

Discussion
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