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SIE Latest Practice Questions - SIE Latest Test Experience

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SIE Latest Practice Questions - SIE Latest Test Experience

Posted at yesterday 09:27      View：21 | Replies：0        Print      Only Author   [Copy Link] 1#
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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q21-Q26):NEW QUESTION # 21
Which of the following rates is subject to the most frequent changes?
  • A. Prime
  • B. Call loan
  • C. Federal funds
  • D. Discount
Answer: C
Explanation:
The federal funds rate, which is the interest rate banks charge each other for overnight loans, changes frequently due to daily fluctuations in bank reserves and market conditions.
* D is correct as it is the most sensitive to short-term market forces.
* A, B, and C change less frequently.
Reference: SIE Study Guide, Chapter 2: Interest Rates

NEW QUESTION # 22
Which of the following responses best characterizes a money market mutual fund?
  • A. Its yield always exceeds a savings account rate.
  • B. It pays a fixed rate of return.
  • C. Its price is fixed at $1 per share.
  • D. Its underlying investments are short term.
Answer: D
Explanation:
Money market mutual funds invest in highly liquid, short-term debt instruments, such as Treasury bills, commercial paper, and certificates of deposit. While the funds aim to maintain a stable $1 NAV, this is not guaranteed.
* C is correctbecause the fund's investments are short term.
* Ais incorrect because the rate of return is not fixed; it varies with market interest rates.
* Bis incorrect because while the fund tries to maintain a $1 NAV, it is not guaranteed.
* Dis incorrect because yields do not always exceed those of savings accounts.

NEW QUESTION # 23
The process in which the buying firm must pay for the securities and the selling firm must deliver the securities is known as:
  • A. The settlement of the transaction
  • B. Clearing the trade
  • C. A delivery versus payment (DVP) transaction
  • D. A corporate action
Answer: A
Explanation:
Step by Step Explanation:
* Settlement of the Transaction: Refers to the finalization of a trade, where the buyer pays for the securities, and the seller delivers them. For most securities, regular-way settlement occurs T+2 (trade date plus two business days).
* Incorrect Options:
* Clearing the Trade: Refers to matching trade details to prepare for settlement.
* DVP Transactions: A specific type of settlement involving simultaneous payment and delivery, often used for institutional clients.
* Corporate Action: Refers to events like stock splits or dividend declarations.
:
FINRA and SEC Guidelines on Settlement: SEC Settlement Process.

NEW QUESTION # 24
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. Credit risk
  • C. Currency risk
  • D. Prepayment risk
Answer: B
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 # 25
An investor generally purchases an open-end mutual fund from which of the following parties?
  • A. The fund's underwriter
  • B. An existing shareholder
  • C. The fund's custodian
  • D. The NYSE
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.
References:
* SEC Mutual Fund Basics: SEC Mutual Funds.

NEW QUESTION # 26
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