100% SIE EXAM COVERAGE | SIE VALID TEST FORUM

100% SIE Exam Coverage | SIE Valid Test Forum

100% SIE Exam Coverage | SIE Valid Test Forum

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Tags: 100% SIE Exam Coverage, SIE Valid Test Forum, Reliable SIE Exam Bootcamp, Answers SIE Real Questions, SIE Exam Quiz

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q14-Q19):

NEW QUESTION # 14
Assuming yields are held constant, which of the following statements describes what will occur as a discount bond reaches maturity?

  • A. Its price increases.
  • B. Its price decreases.
  • C. Its par value decreases.
  • D. Its par value increases.

Answer: A

Explanation:
Step by Step Explanation:
* Discount Bonds: These are issued or traded below par value. Over time, their price moves closer to par as they approach maturity, assuming yields remain constant.
* Other Options:
* Par Value Changes: The par value of a bond does not change over time; only its price fluctuates.
References:
* SEC and FINRA Bond Basics: SEC Discount Bonds.


NEW QUESTION # 15
Under SEC Regulation D, which of the following parties is considered an accredited investor?

  • A. A person whose net worth, excluding the net equity in their primary residence, exceeds $1 million at the time of purchase.
  • B. A charitable organization, partnership, or corporation whose assets exceed $2.5 million.
  • C. A person whose net worth, excluding the net equity in their primary residence, exceeds $500,000 at the time of purchase.
  • D. 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.

Answer: A

Explanation:
Step by Step Explanation:
* Definition of Accredited Investor: As per SEC Regulation D, Rule 501, an accredited investor includes:
* Individuals with a net worth exceeding $1 million (excluding primary residence equity).
* Individuals with an annual income exceeding $200,000 (or $300,000 jointly with a spouse) for the past two years.
* Elimination of Incorrect Answers:
* $500,000 threshold (option B) is too low to qualify under Regulation D.
* Option D is incorrect as it requires assets of $5 million, not $2.5 million.
References:
* SEC Regulation D, Rule 501 (Accredited Investor Definition): SEC Regulation D.


NEW QUESTION # 16
Which of the following responses describes a collateralized mortgage obligation (CMO) tranche?

  • A. A slice of the investment representing a coupon rate, maturity date, and credit rating
  • B. The method of underwriting used by the issuer to securitize the loans in the portfolio
  • C. The yield a customer should expect if the CMO is held to maturity
  • D. The estimated average life of the CMO expressed in years and months

Answer: A

Explanation:
CMOs are divided into tranches, which are portions of the pool of mortgage-backed securities. Each tranche has its own characteristics, including coupon rate, maturity date, and credit rating, tailored to meet the needs of different investors.
* C is correctbecause tranches represent slices of the investment with specific terms.
* Ais incorrect because the yield depends on prepayment rates and interest rate changes.
* Bis incorrect as average life is an estimate, not a defining characteristic of a tranche.
* Dis incorrect because underwriting is unrelated to the definition of a tranche.


NEW QUESTION # 17
If an investor is bullish on ABC, which of the following actions will he most likely take?

  • A. Buy ABC puts
  • B. Sell ABC stock short
  • C. Sell ABC calls
  • D. Buy ABC stock

Answer: D

Explanation:
Step by Step Explanation:
* Bullish Position: Buying ABC stock aligns with the expectation that the stock's price will rise, allowing the investor to profit.
* Incorrect Options:
* A: Buying puts is a bearish strategy.
* C: Selling calls benefits from stable or declining prices.
* D: Selling short is a bearish strategy anticipating a price drop.
References:
* FINRA Guidance on Market Strategies: FINRA Trading Basics.


NEW QUESTION # 18
An investor owns 100 shares of a company's stock and is very interested in electing a particular individual to the board of directors of the corporation. There are 20 individuals running to fill 10 board seats. If the corporation uses the cumulative voting method, what is the maximum number of votes the investor is permitted to cast for this particular director?

  • A. 50 votes
  • B. 1,000 votes
  • C. 2,000 votes
  • D. 100 votes

Answer: B

Explanation:
In cumulative voting, shareholders can allocate all their votes to a single candidate. The total number of votes is calculated by multiplying the number of shares owned by the number of seats available:
* Total votes = 100 shares × 10 seats =1,000 votes.
* The investor can allocate all votes to one candidate.
* C is correctbecause cumulative voting allows all votes to be concentrated.


NEW QUESTION # 19
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