Finra nwexams ace Your Sie General Securities Representative Exam by Danny q33 vce pdf

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Exam Name:	Securities Industry Essentials Exam (SIE)
Exam Code:	SIE Dumps
Vendor:	FINRA	Certification:	General Securities Representative
Questions:	188 Q&A's	Shared By:	danny

Question 40

Beta coefficient is a measure of:

Options:

The volatility of the broad stock market.

Only the upside participation of an individual stock.

The liquidity of an individual stock relative to the sector average.

The volatility of an individual stock relative to the broad stock market.

Discussion

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Question 41

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 42

Which of the following activities is a responsibility of a mutual fund transfer agent?

Options:

Underwriting new shares of securities

Distributing the fund's prospectus to investors

Maintaining custody of the fund's securities

Maintaining records of shareholder purchases and redemptions

Discussion

Question 43

Which of the following terms describes an offer to purchase some or all shareholders' shares in a corporation, usually at a premium to the market price?

Options:

Tender

Stock split

Redemption

Class action