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[General] Test SIE Tutorials | SIE Top Dumps

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【General】 Test SIE Tutorials | SIE Top Dumps

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FINRA SIE Exam Syllabus Topics:
TopicDetails
Topic 1
  • Overview of the Regulatory Framework: This section of the exam measures the skills of Compliance Officers and evaluates knowledge of self-regulatory organization (SRO) requirements, including registration and continuing education for associated persons. Candidates must understand the distinction between registered and non-registered individuals and the requirements for maintaining industry qualifications.
Topic 2
  • Understanding Trading, Customer Accounts, and Prohibited Activities: This section of the exam measures the skills of Securities Traders and focuses on different trading strategies, settlement processes, and corporate actions. Candidates must demonstrate knowledge of order types, including market, limit, stop, and good-til-canceled orders, as well as bid-ask spreads and discretionary versus non-discretionary trading.
Topic 3
  • Employee Conduct and Reportable Events: This section of the exam measures the skills of Financial Compliance Specialists and covers regulatory expectations regarding employee conduct and disclosure requirements. Candidates must be familiar with Form U4 and Form U5, as well as reporting obligations for outside business activities and political contributions.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q111-Q116):NEW QUESTION # 111
At which of the following prices does a 7% coupon bond have the highest current yield?
  • A. 0
  • B. 1
  • C. 2
  • D. 3
Answer: A
Explanation:
A bond's current yield is calculated as annual interest (coupon payment) divided by the bond's current market price. For a fixed-rate bond, the annual interest amount is based on the coupon rate times par value (typically
$1,000 par). With a 7% coupon, annual interest is $70 per $1,000 of par value. Since the coupon payment is fixed, the current yield becomes higher when the purchase price is lower, because you are receiving the same
$70 of annual interest while paying less for the bond.
In this question, the possible market prices are 92, 100, 102, and 107 (quoted as percentages of par). A price of 92 means the bond costs $920 per $1,000 par. The current yield at 92 is $70 ÷ $920, which is higher than
$70 ÷ $1,000 (at par), higher than $70 ÷ $1,020, and higher than $70 ÷ $1,070. Therefore, the bond has the highest current yield at the lowest price, which is 92.
This question is testing a fundamental SIE relationship: for bonds, yield and price move inversely. While
"current yield" is a simpler measure than yield to maturity (YTM) because it ignores time to maturity and any gain/loss if the bond is redeemed at par, it is still widely used as a quick comparison tool. The exam expects you to recognize that as price declines (discount), current yield rises; as price increases (premium), current yield falls-assuming the coupon rate is fixed. The SIE outline includes debt instrument basics such as coupon, par, yield, and price/yield relationships.

NEW QUESTION # 112
An investor generally purchases an open-end mutual fund from which of the following parties?
  • A. The fund's underwriter
  • B. The NYSE
  • C. The fund's custodian
  • D. An existing shareholder
Answer: A
Explanation:
Step by Step Explanation:
* Open-End Mutual Funds: Shares are purchased directly from the fund or its underwriter at the current Net Asset Value (NAV), plus any applicable sales charges.
* Custodian: Holds the fund's assets but does not sell shares.
* NYSE and Shareholders: Open-end funds do not trade on exchanges or between individual shareholders.
SEC Mutual Fund Basics: SEC Mutual Funds.

NEW QUESTION # 113
Offering 403(b) tax-sheltered annuity accounts to which of the following groups is permissible?
  • A. Small business owners
  • B. Active duty military personnel
  • C. Volunteer workers
  • D. Employees of a nonprofit hospital
Answer: D

NEW QUESTION # 114
Which of the following is the primary risk of using asset allocation models without periodic rebalancing?
  • A. Marketability
  • B. Inflation
  • C. Interest rate risk
  • D. Overweighting
Answer: D
Explanation:
Step by Step Explanation:
* Rebalancing: Ensures that a portfolio remains aligned with its target allocation. Without rebalancing, outperforming assets can become overweighted, increasing exposure to specific risks.
* Incorrect Options:
* Inflation: Impacts purchasing power but isn't tied to rebalancing.
* Marketability: Refers to liquidity and isn't linked to allocation models.
* Interest Rate Risk: Relates to fixed-income investments and isn't directly addressed by allocation models.
:
SEC Investor Bulletin on Asset Allocation: SEC Asset Allocation.

NEW QUESTION # 115
A market maker displays the following ABC stock quote: 25.05 - 25.15 (7x5J.
Based upon the quote displayed, the market maker sells all the available shares of a 1,200-share market order to buy ABC stock. How many shares must be sold at the price of $25.15?
  • A. 0
  • B. 1
  • C. 2
  • D. 3
Answer: A

NEW QUESTION # 116
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