Finra pass4test sie Premium Exam Questions by Saskia q82 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:	saskia

Question 28

A summary prospectus for a mutual fund must contain which of the following information?

Options:

Projected return

Investment objectives

Fund's portfolio holdings

Control persons and principal owners of the fund

Discussion

Question 29

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:

The SEC has the authority to file civil charges only.

The SEC has the authority to file criminal charges only.

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

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

Discussion

Question 30

Executing trades using the delivery versus payment (DVP) settlement process requires the buyer to make a cash payment by which of the following deadlines?

Options:

On the 5th business day after execution

Before or at the same time as securities being delivered

No later than 3 days after the securities are delivered

By the agreed-upon settlement date with the issuer

Discussion

Question 31

What is the sales load of an open-end investment company with a net asset value (NAV) of $14.35 and a public offering price (POP) of $15.50?

Options:

7.40%

8.00%

8.50%

9.25%

Discussion

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