EXAM SIE VCE | SIE VALID STUDY MATERIALS

Exam SIE Vce | SIE Valid Study Materials

Exam SIE Vce | SIE Valid Study Materials

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Tags: Exam SIE Vce, SIE Valid Study Materials, Test SIE Pattern, SIE Passing Score Feedback, Mock SIE Exams

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SIE Valid Study Materials, Test SIE Pattern

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q91-Q96):

NEW QUESTION # 91
Trades that settle within the period preset by regulators of the particular market are considered to have which of the following types of settlement?

  • A. Cash
  • B. Rolling
  • C. Regular way
  • D. Next day

Answer: C

Explanation:
"Regular way" settlement refers to the standard settlement cycle for securities transactions, which is T+2 for most stocks and bonds. This timeline is set by regulators to ensure orderly processing of trades.
* D is correctbecause regular way settlement follows the preset T+2 cycle.
* Ais incorrect because cash settlement occurs the same day as the trade.
* Bis not a recognized term for settlement types.
* Cis incorrect because next-day settlement applies only to specific securities (e.g., Treasury securities).


NEW QUESTION # 92
Company XYZ is a U.S.-based provider of domestic utility services. XYZ's noncallable bonds pay a coupon rate of 5% and are currently yielding 9%. Market interest rates are currently 5.5%. An investor who purchases XYZ bonds is most exposed to which of the following risks?

  • A. Political risk
  • B. Currency risk
  • C. Credit risk
  • D. Prepayment risk

Answer: C

Explanation:
XYZ bonds have a yield higher than the coupon rate, indicating that their market price has decreased due to concerns about the issuer's creditworthiness.
* A is correctbecause the high yield suggests elevated credit risk.
* Bis incorrect because domestic utility companies are unlikely to face political risk.
* Cis irrelevant as the bonds are denominated in U.S. dollars.
* Dis incorrect as prepayment risk is associated with callable bonds, not noncallable bonds.


NEW QUESTION # 93
Which of the following statements is true of an index exchange-traded fund (ETF)?

  • A. It is priced once daily, generally at the market close.
  • B. It has a high portfolio turnover ratio.
  • C. Passive ETFs will typically have lower fees than those associated with actively managed ETFs.
  • D. It offers an opportunity to outperform the index it tracks.

Answer: C

Explanation:
Passive ETFs track an index and require minimal management, leading to lower expenses compared to actively managed ETFs.
* D is correctbecause passive ETFs are cost-efficient and have lower fees.
* Ais incorrect because index ETFs have low turnover since they replicate an index.
* Bis incorrect because ETFs are priced continuously throughout the trading day.
* Cis incorrect as ETFs aim to match, not outperform, the index.


NEW QUESTION # 94
Shares in a private investment in public equity (PIPE) offering are priced:

  • A. At the current market value per share.
  • B. Below the current market value per share.
  • C. At the public offering price (POP) as determined by the underwriters.
  • D. Above the current market value per share.

Answer: B

Explanation:
Step by Step Explanation:
* PIPE Offerings: Typically priced below the current market value to incentivize institutional investors to participate in these transactions.
* Discount: The discounted price compensates for the potential illiquidity and risk associated with PIPE offerings.
* POP/Market Value: These do not apply to private offerings structured as PIPE transactions.
References:
* SEC PIPE Offering Guidance: SEC PIPE Offerings.


NEW QUESTION # 95
Under the Investment Company Act of 1940, which of the following products are considered redeemable securities?

  • A. Master limited partnerships
  • B. Short-term paper
  • C. Shares issued by a closed-end investment company
  • D. Shares of unit investment trusts (UITs) purchased through a public offering

Answer: D

Explanation:
Redeemable securities are those that can be sold back to the issuer.
* D is correctbecause unit investment trusts (UITs) issue redeemable securities.
* Cis incorrect because closed-end fund shares are traded on secondary markets, not redeemable.
* AandBdo not meet the definition of redeemable securities.


NEW QUESTION # 96
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