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FINRA Updated SIE Exam Questions and Answers by sufyan

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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: 410 Q&A's Shared By: sufyan
Question 60

The Investment Company Act of 1940 requires that investment companies limit the percentage of interested persons that serve on their boards of directors. This limitation seeks to mitigate or eliminate which of the following risks?

Options:

A.

Insider trading

B.

Money laundering

C.

Conflicts of interest

D.

Market manipulation

Discussion
Question 61

A customer and his two brothers want to Invest $30,000 to start an equity portfolio. Two of the brothers will Invest $7,500 each, and the other brother will invest S15,000 to start the account. In the event of death, each of them agrees that the assets should be passed on to their heirs proportionately. Which of the following types of accounts should the registered representative recommend to the customers?

Options:

A.

Tenants by the entirety

B.

Transfer-on-death (TOD)

C.

Joint tenants in common

D.

Joint tenants with right of survivorship (JTWROS)

Discussion
Question 62

An investor is bullish on the technology sector and heavily invests in microchip companies. Impactful regulatory changes are announced that will negatively affect microchip manufacturing. In order to mitigate the risk to his portfolio, the investor should:

Options:

A.

Purchase holdings uncorrelated to the technology sector.

B.

Purchase shares of other microchip companies in the technology sector.

C.

Sell holdings that are unaffected by the regulatory changes.

D.

Buy more shares of the microchip companies already in his portfolio.

Discussion
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Question 63

The SEC is Investigating an individual who Is potentially trading with material nonpublic Information concerning their former employer. Which of the following statements describes the authority, if any, that the SEC has?

Options:

A.

The SEC has the authority to file civil charges only.

B.

The SEC has the authority to file criminal charges only.

C.

The SEC has the authority to file civil and criminal charges.

D.

The SEC does not have the authority to file charges, only to issue fines and restitution.

Discussion
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