Finra itexams general Securities Representative Sie Dumps Pdf by Ralphie 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:	164 Q&A's	Shared By:	ralphie

Question 20

Which of the following entities issues certificates of deposit (CDs)?

Options:

FDIC

Banks

Broker-dealers

Federal Reserve

Discussion

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Question 21

Under SEC Regulation D, which of the following parties is considered an accredited investor?

Options:

A person whose joint income with their spouse exceeds $200,000 in each of the two most recent years and who has a reasonable expectation of reaching the same income level in the current year.

A person whose net worth, excluding the net equity in their primary residence, exceeds $500,000 at the time of purchase.

A person whose net worth, excluding the net equity in their primary residence, exceeds $1 million at the time of purchase.

A charitable organization, partnership, or corporation whose assets exceed $2.5 million.

Discussion

Question 22

A broker-dealer (BD) is underwriting an initial public offering (IPO). According to industry rules, which of the following customers is eligible to participate in the IPO?

Options:

An unregistered sales assistant employed by the BD

The BD's branch office manager's unemployed spouse

A customer of the BD who is the president of a local bank

The chief financial officer of a fast-food chain, whose brother is a registered representative employed by the BD