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FINRA Updated SIE Exam Questions and Answers by danny

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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: 332 Q&A's Shared By: danny
Question 40

Which of the following statements characterizes the typical relationship between the market value of a municipal bond portfolio and interest rates?

Options:

A.

As interest rates increase, the market value goes up.

B.

As interest rates decrease, the market value goes up.

C.

As the market value goes down, interest rates decrease.

D.

As the market value goes up, interest rates stay constant.

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Question 41

Which of the following customers Is eligible to open an institutional account at a broker-dealer?

Options:

A.

An investment club with pooled assets totaling $1 million

B.

limited liability partnership with assets of $20 million

C.

corporation with assets totaling $25 million

D.

An Insurance company with assets of $45 million

Discussion
Question 42

How does an individual acquire restricted stock?

Options:

A.

By participating in an SEC Regulation D offering

B.

By participating in an initial public offering (IPO)

C.

By exercising publicly traded warrants

D.

By exercising an option for exchange-traded calls

Discussion
Question 43

A registered representative (RR) reads an article online about a thinly traded security that the RR believes has a high likelihood of rapid growth and price appreciation. The RR purchases shares of the security in their own account and recommends to a number of high net worth customers that they purchase shares as well. After the RR ' s customers make several purchases of the security, the price appreciates, as the RR expected. The RR liquidates their position for a profit and subsequently recommends to customers that they do the same thing. Which of the following statements is true regarding this scenario?

Options:

A.

This is a deceptive practice that violates FINRA conduct rules.

B.

This is an acceptable practice if the customers ' profits were equal to or greater than the RR ' s.

C.

The RR ' s recommendations are appropriate as the customers are all high net worth individuals.

D.

The RR violated FINRA rules that state RRs are only permitted to accept unsolicited orders for thinly traded securities.

Discussion
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