Finra surepassexam free Sie Questions Attempt by Neave q49 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:	neave

Question 8

A registered representative (RR) has a referral relationship with a family friend who is not affiliated with the financial industry. In the absence of a formal agreement, which of the following ways is the RR permitted to compensate the family friend for referrals?

Options:

The RR is permitted to split commissions with the family friend.

The RR is permitted to pay a flat-rate referral fee to the family friend.

The RR is permitted to take the family friend out to dinner as a way to say thank you.

The RR is permitted to give the family friend prepaid credit cards equal to 50% of the commissions earned on the referrals.

Discussion

Question 9

If a company with a single outstanding bond issue chooses to extinguish this debt through refunding, which of the following actions will occur?

Options:

The company will issue stock to replace the bonds.

The company will retire one debt with the proceeds from another issue.

The company will buy back the bonds, at a discount, from the bondholders.

The company will establish a sinking fund for use in making regular open-market purchases of the bonds.

Discussion

Question 10

Under FINRA rules, which of the following events does not require a registered representative to update her Form U4 disclosure?

Options:

Felony convictions

Regulatory disciplinary actions

Receipt of a deficiency letter after an internal compliance audit

Any resolution of customer complaints involving payment of $15,000 or more

Discussion

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Question 11

An investor is bullish on the technology sector and heavily invests in microchip companies. Impactful regulatory changes are announced that will negatively affect microchip manufacturing. In order to mitigate the risk to his portfolio, the investor should:

Options:

Purchase holdings uncorrelated to the technology sector.

Purchase shares of other microchip companies in the technology sector.

Sell holdings that are unaffected by the regulatory changes.

Buy more shares of the microchip companies already in his portfolio.