Finra transcender general Securities Representative Sie Exam Questions And Answers Pdf by Angus q115 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:	angus

Question 52

The provision that allows a bond issuer to purchase bonds from customers prior to the maturity date on the bond is known as a:

Options:

Put

Call

Conversion

Defeasement

Discussion

Question 53

Class A and Class C shares of a mutual fund differ in which of the following ways?

Options:

The expense ratio

The net asset value (NAV)

The underlying investments

When the customer is permitted to purchase

Discussion

Question 54

A registered representative wants to open an account for himself at a different financial institution. Under FINRA rules, which of the following accounts requires prior written consent from his employing broker-dealer?

Options:

A 529 savings plan account established for his grandchild

Mutual fund accounts held directly with the fund company

Variable contracts registered under the Investment Company Act

An investment advisory account in which securities transactions are effected

Discussion

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Question 55

A bullish Investor Is most likely to participate in the market using which of the following trading strategies?