Finra techtarget pass Using Sie Exam Dumps by Celine q164 vce pdf

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Exam Name:	Securities Industry Essentials Exam (SIE)
Exam Code:	SIE Dumps
Vendor:	FINRA	Certification:	General Securities Representative
Questions:	266 Q&A's	Shared By:	celine

Question 16

A customer retires at age 65 and rolls over his 401(k) of $850,000 In equities into an Individual retirement account (IRA). This Is his entire portfolio, and he is concerned about the stock market collapsing and ruining his portfolio. The customer is most concerned with which type of risk?

Options:

political

Inflation

Systematic

Interest rate

Discussion

Question 17

Under FINRA rules, If a customer sells shares In an Investment company that Includes a contingent deferred sales charge (CDSC) on redemptions, in which of the following ways must the deferred sales charge be reported to the customer?

Options:

In writing, at the time of redemption

On the trade confirmation

On the broker-dealer's website

On the customer's account statement

Discussion

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Question 18

An investor who lives on a fixed income and is concerned about inflation is most exposed to which of the following risks?

Options:

Market risk

Economic risk

Interest rate risk

Purchasing power risk

Discussion

Question 19

Under SEC Regulation D, which of the following parties is considered an accredited investor?

Options:

A person whose joint income with their spouse exceeds $200,000 in each of the two most recent years and who has a reasonable expectation of reaching the same income level in the current year.

A person whose net worth, excluding the net equity in their primary residence, exceeds $500,000 at the time of purchase.

A person whose net worth, excluding the net equity in their primary residence, exceeds $1 million at the time of purchase.

A charitable organization, partnership, or corporation whose assets exceed $2.5 million.