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:	164 Q&A's	Shared By:	saskia

Question 28

Which of the following statements best describes a characteristic of 529 savings plan accounts?

Options:

There are no contribution limits to the account.

The number of contributors to the account is limited.

Using funds for undergraduate or graduate studies is permissible.

Earnings are taxed to the donor at the time of a qualified withdrawal.

Discussion

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Question 29

A customer purchased 100 shares of Company XYZ common stock five years ago for $20.00 per share. Over the life of her investment, the customer received cash dividends of $2.00 per share, on which she paid total income taxes of $0.50 per share. She recently sold the stock for $30.00 per share. What is the customer's cost basis in each share of XYZ stock?

Options:

$20.00

$21.50

$22.00

$30.00

Discussion

Question 30

Which of the following responses describes treasury stock?

Options:

Authorized but unissued stock

Restricted stock owned by officers

Stock subsequently reacquired by the issuer

U.S. government securities held by a corporation

Discussion

Question 31

A confirmation indicates a 100-share purchase of Company ABC at $11. According to SEC rules, which of the following information is required to be stated on the confirmation?

Options:

The firm's cost basis in the security

The firm's inventory level at the time of trade execution

That the firm did not act as a market maker in the security

The capacity in which the firm acted when executing the trade