Open the auxiliary access

Firefly Open Source Community

   Login   |   Register   |
New_Topic
Firefly Open Source Community › Core Board › Core-3308Y› FINRA SIE Deutsch Prüfung, SIE Online Prüfung
New Topic
Print Previous Topic Next Topic

[General] FINRA SIE Deutsch Prüfung, SIE Online Prüfung

markyou984

134

Credits

0

Prestige

0

Contribution

registered members

Rank: 2

Credits
134

【General】 FINRA SIE Deutsch Prüfung, SIE Online Prüfung

Posted at 11 hour before      View：11 | Replies：0        Print      Only Author   [Copy Link] 1#
Laden Sie die neuesten It-Pruefung SIE PDF-Versionen von Prüfungsfragen kostenlos von Google Drive herunter: https://drive.google.com/open?id=1RoCHpbAMZJUJX2Pgd1jmH0EAahGzAGS3
Der Vorhang der Lebensbühne wird jederzeit geöffnet werden. Die Hauptsache ist, ob Sie spielen wollen oder einfach weglaufen. Diejenigen, die die Chancen ergreifen können, können Erfolg erlangen. Deshalb müssen Sie It-Pruefung wählen. Sie können jederzeit Ihre Fertigkeiten zeigen. Die Prüfungsmaterialien zur FINRA SIE Zertifizierungsprüfung von It-Pruefung ist die effziente Methode, die SIE Prüfung zu bestehen. Mit SIE Zertifikat können Sie Ihren Traum verwirklichen und Erfolg erlangen.
FINRA SIE Prüfungsplan:
ThemaEinzelheiten
Thema 1
  • Understanding Products and Their Risks: This section of the exam measures the skills of Investment Analysts and examines different financial products and associated risks. Candidates must understand equity securities, including common stock, as well as debt instruments such as Treasury securities and mortgage-backed securities.
Thema 2
  • Market Structure: This section of the exam measures the skills of Equity Market Specialists and covers the classification of financial markets, including the primary, secondary, third, and fourth markets. Candidates must demonstrate knowledge of electronic trading, over-the-counter (OTC) markets, and physical exchanges. One specific skill tested is differentiating between various market types and their operational mechanisms.
Thema 3
  • Regulatory Entities, Agencies, and Market Participants: This section of the exam measures the skills of Financial Regulatory Analysts and covers the structure, authority, and jurisdiction of key regulatory bodies overseeing financial markets. The SEC's role in enforcing securities regulations is assessed, along with the authority of self-regulatory organizations such as FINRA and MSRB. Candidates must also understand the functions of other financial regulators, including the Department of the Treasury and state regulatory agencies. One key skill evaluated is identifying the jurisdictional scope of different financial regulators.
Thema 4
  • 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.

SIE Der beste Partner bei Ihrer Vorbereitung der Securities Industry Essentials Exam (SIE)Wenn Sie Online-Service für die Lerntipps zur FINRA SIE Zertifizierungsprüfung kaufen wollen, ist unser It-Pruefung einer der anführenden Websites. Wir bieten die neuesten Schulungsunterlagen von bester Qualität. Alle Lernmaterialien und Schulungsunterlagen zur FINRA SIE Zertifizierungsprüfung auf unserer Website entsprechen ihren Kosten. Sie genießen einen einjährigen kostenlosen Update-Service. Wenn alle unseren Produkte Ihnen nicht zum Bestehen der FINRA SIE Zertifizierungsprüfung Prüfung verhilft, erstatten wir Ihnen die gesammte Summe zurück.
FINRA Securities Industry Essentials Exam (SIE) SIE Prüfungsfragen mit Lösungen (Q129-Q134):129. Frage
Assume that the economy is operating at nearly full capacity. The initial results of an oversupply of money are most likely to have the greatest impact on which of the following macroeconomic factors?
  • A. Velocity of money
  • B. Real output
  • C. Inflation rate
  • D. Unemployment rate
Antwort: C
Begründung:
When an economy operates near full capacity, additional money in circulation leads to inflation, as demand exceeds the economy's ability to increase supply.
* B is correct because inflation is the primary impact when supply cannot keep up with excess demand.
* A is incorrect because output does not significantly increase when capacity is already maximized.
* C is incorrect because velocity measures the rate at which money circulates, not the impact of oversupply.
* D is incorrect as unemployment is already low when the economy is at full capacity.
Reference: SIE Study Guide, Chapter 2: Economic Indicators and Monetary Policy

130. Frage
Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities, which of the following conditions must be met?
  • A. The affiliate must have a holding period of six months.
  • B. The shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.
  • C. The company must be traded on a listed stock exchange.
  • D. The issuer must notify FINRA of the proposed sale by submitting a Form 144.
Antwort: A
Begründung:
Step by Step Explanation:
* Rule 144 Holding Period: Restricted securities held by affiliates require a six-month holding period before sale, provided the issuer is subject to SEC reporting requirements.
* Other Options:
* Notification to FINRA (C) is incorrect; Form 144 is submitted to the SEC, not FINRA.
* The 10% ADTV limitation (D) applies to the volume of shares sold, not the conditions for sale.
:
SEC Rule 144 (Selling Restricted Securities): SEC Rule 144.

131. Frage
Which of the following activities is permitted during the cooling-off period of an initial public offering (IPO)?
  • A. Conduct sales to public investors
  • B. Distribute final prospectus
  • C. Market the new security to potential investors
  • D. Deliver securities to purchasers
Antwort: C
Begründung:
The cooling-off period begins after the registration statement is filed with the SEC and lasts for at least 20 days. During this time, the issuer and underwriters can market the securities but cannot finalize sales.
* D is correct because marketing (e.g., roadshows) is permitted during the cooling-off period.
* A is incorrect because the final prospectus is distributed after the offering is effective.
* B and C are incorrect because sales and deliveries are prohibited until the registration becomes effective.
Reference: Securities Act of 1933, Section 5

132. Frage
A customer is unhappy about a $5,000 loss in a stock that the registered representative (RR) recommended and threatens to call FINRA's Securities Helpline for Seniors about the matter. What is the most appropriate next step for the RR to take?
  • A. The RR is permitted to reimburse the customer for the loss to resolve the customer's complaint.
  • B. The RR should call FINRA's Securities Helpline for Seniors before the customer does and explain their side of the story.
  • C. The RR should notify their supervisor about the customer's dissatisfaction.
  • D. The RR should alert their compliance department to update their Form U4 with the complaint details.
Antwort: C
Begründung:
Step by Step Explanation:
* Escalation Requirement: The RR must promptly notify their supervisor or compliance department about the customer's complaint as required by FINRA rules. Supervisors handle customer complaints according to firm procedures.
* Incorrect Options:
* B: Reimbursing the customer is not permissible without firm approval and may create compliance issues.
* C: Complaints requiring Form U4 updates involve specific allegations such as fraud, not general dissatisfaction.
* D: The RR should not contact FINRA directly; the firm will handle communications.
:
FINRA Rule 4530 (Reporting Requirements): FINRA Rule 4530.

133. Frage
Company ABC stock currently trades on an exchange. An ABC insider wants to sell a large number of shares of her privately held ABC stock. ABC files the necessary paperwork to register the shares, but the insider decides to wait and sell the stock at a later date. Which of the following terms best describes the type of offering that is occurring in this situation?
  • A. A rights offering
  • B. A secondary offering
  • C. An exempt offering
  • D. A private offering
Antwort: B
Begründung:
Step by Step Explanation:
* Secondary Offering: Involves the sale of shares by an existing shareholder, such as an insider, rather than the company itself issuing new shares.
* Incorrect Options:
* A: Rights offerings involve giving existing shareholders the opportunity to buy additional shares.
* B: Private offerings are not registered with the SEC and involve limited investors.
* C: An exempt offering refers to securities exempt from SEC registration, such as Regulation D offerings.
References:
* SEC Guide on Secondary Offerings: SEC Secondary Offerings.

134. Frage
......
Wir It-Pruefung haben uns seit Jahren um die Entwicklung der Software bemühen, die die Leute helfen, die in der IT-Branche bessere Arbeitsperspektive möchten, die FINRA SIE Prüfung zu bestehen. Trotzdem es schon zahlreiche FINRA SIE Prüfungsunterlagen auf dem Markt gibt, ist die FINRA SIE Prüfungssoftware von uns It-Pruefung am verlässlichsten. Es wird durch Praxis schon beweist, dass fast alle der Prüfungsteilnehmer, die unsere Software benutzt haben, FINRA SIE Prüfung bestanden. Viele davon verwenden nur Ihre Freizeit für die Vorbereitung auf FINRA SIE Prüfung. Die Zertifizierung zu erwerben überrascht Sie.
SIE Online Prüfung: https://www.it-pruefung.com/SIE.html
Außerdem sind jetzt einige Teile dieser It-Pruefung SIE Prüfungsfragen kostenlos erhältlich: https://drive.google.com/open?id=1RoCHpbAMZJUJX2Pgd1jmH0EAahGzAGS3
https://www.itexamsimulator.com
Reply

Use props Report

Return to List
High mode
B Color Image Link Quote Code Smilies
You need to log in before you can reply Login | Register

This forum Credits Rules

  •  

Service Hotline : (+86)18688117175
Contact us
E-mail : global@t-firefly.com
Copyright © 2014-2022, FIREFLY TECHNOLOGY CO.,LTD. All Rightts Reserved. 粤ICP备14022046号-2
Quick Reply Back to top Back to list