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FINRA Updated SIE Exam Questions and Answers by celine

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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: celine
Question 16

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:

A.

On the 5th business day after execution

B.

Before or at the same time as securities being delivered

C.

No later than 3 days after the securities are delivered

D.

By the agreed-upon settlement date with the issuer

Discussion
Question 17

Which of the following responses accurately describes a secondary market transaction?

Options:

A.

Buying open-end mutual fund shares

B.

Buying securities directly from the issuing company

C.

Buying securities on a registered securities exchange

D.

Buying securities in a private placement from a broker-dealer

Discussion
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Question 18

A grandfather establishes a Uniform Transfers to Minors Act (UTMA) custodial account for his grandson and appoints an attorney as custodian. Which of the following individuals owns the account?

Options:

A.

Attorney

B.

Grandfather

C.

Grandson

D.

Grandson's parent

Discussion
Question 19

Which of the following is the primary risk of using asset allocation models without periodic rebalancing?

Options:

A.

Inflation

B.

Marketability

C.

Overweighting

D.

Interest rate risk

Discussion
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