Finra certshero free Access Sie New Release by Theia q16 vce pdf

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Exam Name:	Securities Industry Essentials Exam (SIE)
Exam Code:	SIE Dumps
Vendor:	FINRA	Certification:	General Securities Representative
Questions:	164 Q&A's	Shared By:	theia

Question 24

Which of the following products is the most appropriate class of investments for a customer looking for income and capital gains?

Options:

A growth stock

A money market account

A blue-chip stock mutual fund

Treasury Separate Trading of Registered Interest and Principal of Securities (STRIPS)

Discussion

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Question 25

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

Options:

Cash

Margin

An individual retirement account (IRA)

Delivery versus payment (DVP) / receive versus payment (RVP)

Discussion

Question 26

A customer purchased $80,000 of Fund XYZ two years ago. He now wants to buy $50,000 of Fund LMN offered within the same fund family, which offers a $100,000 breakpoint under right of accumulation. Which of the following statements is true?

Options:

The additional investment qualifies for a $100,000 breakpoint.

Each fund requires contributions of $100,000 to qualify for a breakpoint.

The customer must sign a new letter of intent to receive the $100,000 breakpoint on the additional purchase.

The customer will receive a sales charge discount on his next purchase after the account balance of the fund reaches $100,000.

Discussion

Question 27

Under which of the following circumstances, if any, is a member firm permitted to send gifts to registered representatives (RRs) of another member firm?

Options:

No single gift exceeds $100; no limit on the number of gifts

No single gift exceeds $100; maximum value of all gifts per RR per year is $200

Value of all gifts to an RR during a period of one year does not exceed $100

Under no circumstance