100% Pass Valid SIE - Exam Securities Industry Essentials Exam (SIE) Book

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SIE Exam Torrent & SIE Study Questions & SIE Valid Pdf

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q109-Q114):

NEW QUESTION # 109
Which of the following strategies is an investor most likely to employ using options contracts?

A. Selling call options to set a definitive ceiling for potential losses
B. Buying put options to set a definitive floor for potential losses
C. Buying call options when the market shows downward momentum
D. Buying put options when the market shows upward momentum

Answer: B

Explanation:
Buying a put option gives the investor the right to sell a stock at a specific strike price, effectively setting a floor for potential losses if the stock price declines. This is a common risk-management strategy.
* A is correctbecause buying puts limits downside risk while retaining the potential for upside gains.
* Bis incorrect as buying puts is a bearish strategy, not one used during upward momentum.
* Cis incorrect because selling call options does not hedge losses; it is a speculative or income-generating strategy.
* Dis incorrect because buying calls is a bullish strategy, used during upward momentum, not downward.

NEW QUESTION # 110
Which of the following is a reportable obligation with respect to an individual's Form U4?

A. A change of residential address
B. A speeding ticket
C. A change of business telephone number
D. A gambling-related misdemeanor charge

Answer: D

Explanation:
Step by Step Explanation:
* Form U4 Reporting Requirements: Registered persons must disclose criminal charges (excluding minor traffic violations) and material changes such as residential address changes. Gambling-related misdemeanors are considered reportable.
* Incorrect Options:
* Speeding Ticket: Typically not reportable unless it involves a felony.
* Business Telephone Number: Not material for Form U4.
References:
* FINRA Form U4 Instructions: FINRA Form U4.

NEW QUESTION # 111
Which of the following activities is a responsibility of a mutual fund transfer agent?

A. Distributing the fund's prospectus to investors
B. Maintaining custody of the fund's securities
C. Underwriting new shares of securities
D. Maintaining records of shareholder purchases and redemptions

Answer: D

Explanation:
A transfer agent is responsible for maintaining accurate records of shareholder purchases, redemptions, and account balances. They also handle the issuance and cancellation of shares and ensure shareholders receive appropriate distributions.
* D is correctbecause maintaining shareholder records is a core duty of a transfer agent.
* Ais incorrect because underwriting is the responsibility of a broker-dealer.
* Bis incorrect because distributing the prospectus is handled by the fund's distributor.
* Cis incorrect because custody of securities is the role of a custodian, not the transfer agent.

NEW QUESTION # 112
Which of the following is not a pass-through entity for tax purposes?

A. A limited liability company (LLC)
B. A real estate investment trust (REIT)
C. An S corporation
D. A C corporation

Answer: D

Explanation:
A pass-through entity does not pay corporate income taxes; instead, income is passed to owners, who report it on their individual tax returns.
* A is correctbecause C corporations are not pass-through entities; they pay corporate taxes.
* B,C, andDare all pass-through entities for tax purposes.

NEW QUESTION # 113
Which of the following listed securities carries voting rights?

A. Common stock
B. Corporate bond
C. Convertible bond
D. Preferred stock

Answer: A

Explanation:
Step by Step Explanation:
* Common Stock: Holders of common stock typically have voting rights, which allow them to participate in decisions like electing the board of directors or approving major corporate actions.
* Other Securities:
* Preferred Stock: Usually does not carry voting rights.
* Corporate and Convertible Bonds: Debt instruments, so they do not confer voting rights.
References:
* SEC Guide on Stock Voting Rights: SEC Voting Rights.

NEW QUESTION # 114
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100% Pass Valid SIE - Exam Securities Industry Essentials Exam (SIE) Book

SIE Exam Torrent & SIE Study Questions & SIE Valid Pdf

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q109-Q114):

Top Study Tips to Pass FINRA SIE Exam

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