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FINRA Updated SIE Exam Questions and Answers by neave

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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: 164 Q&A's Shared By: neave
Question 8

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

Options:

A.

Underwriting new shares of securities

B.

Distributing the fund's prospectus to investors

C.

Maintaining custody of the fund's securities

D.

Maintaining records of shareholder purchases and redemptions

Discussion
Question 9

The financial risk that a given security is not readily tradable in the market without impacting the market price is known as:

Options:

A.

Credit risk

B.

Market risk

C.

Liquidity risk

D.

Prepayment risk

Discussion
Question 10

The civil penalty for an individual who is convicted of an insider trading violation is permitted to be an amount up to how many times the profit gained or loss avoided?

Options:

A.

1 time

B.

3 times

C.

6 times

D.

10 times

Discussion
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Question 11

Company ABC stock currently trades on an exchange. An ABC insider wants to sell a large number of shares of her privately held ABC stock. ABC files the necessary paperwork to register the shares, but the insider decides to wait and sell the stock at a later date. Which of the following terms best describes the type of offering that is occurring in this situation?

Options:

A.

A rights offering

B.

A private offering

C.

An exempt offering

D.

A secondary offering

Discussion
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