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Useful SIE Dumps｜100% Pass｜Latest Questions

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Useful SIE Dumps｜100% Pass｜Latest Questions

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q25-Q30):NEW QUESTION # 25
An investor wants to purchase mutual fund shares, but she is concerned about the tax efficiency of the fund.
Which of the following disclosures required under industry regulations will help the investor make an informed decision?
  • A. The fund's turnover ratio
  • B. The commissions that the fund pays on each transaction
  • C. Sales charges and breakpoint discount opportunities
  • D. Projections of future dividend and capital gains distributions
Answer: A
Explanation:
Step by Step Explanation:
* Turnover Ratio: Indicates how frequently the fund manager buys and sells securities. A high turnover ratio may result in higher capital gains distributions, impacting tax efficiency.
* Incorrect Options:
* B: Sales charges affect cost but not tax efficiency.
* C: Commission details are unrelated to the fund's tax efficiency.
* D: Projections of distributions are speculative and not disclosed under regulations.
References:
* SEC Mutual Fund Guide: SEC Mutual Funds.

NEW QUESTION # 26
Under SEC Regulation A, which of the following market participants, if deemed to be a bad actor, will disqualify the offering from reliance on this registration exemption?
  • A. Custodian
  • B. Transfer agent
  • C. Clearing corporation
  • D. Underwriter
Answer: D
Explanation:
SEC Regulation A provides a registration exemption for smaller public offerings but includes a "bad actor" disqualification. If certain key parties, such as the issuer, underwriter, or affiliates, have been involved in securities violations, the exemption is forfeited.
* B is correct because underwriters are considered essential participants, and their status as bad actors disqualifies the offering.
* A, C, and D are incorrect because custodians, transfer agents, and clearing corporations are not included in the "bad actor" provisions of Regulation A.
Reference: SEC Regulation A, Rule 262 (Disqualification Provisions)

NEW QUESTION # 27
A customer has a stock position that has increased in value since the time he purchased it. Which of the following terms describes his current situation?
  • A. Interest income
  • B. Unrealized gain
  • C. Operating profit
  • D. Out of the money
Answer: B
Explanation:
An unrealized gain occurs when the value of an asset increases but has not yet been sold. If the customer sells the stock, the unrealized gain becomes a realized gain.
* B is correct because the increase in value without selling the stock is an unrealized gain.
* A is incorrect because interest income refers to earnings from fixed-income securities.
* C is incorrect because operating profit relates to a company's earnings, not an investor's portfolio.
* D is incorrect because "out of the money" is a term used for options, not stocks.
ce: SIE Study Guide, Chapter 6: Stock Valuations

NEW QUESTION # 28
Which of the following statements is true about a corporation's balance sheet?
  • A. It summarizes a company's revenues and expenses for the firm's fiscal year.
  • B. It reports where a corporation's cash is being generated and where its cash is being spent for a specific period.
  • C. It is also called a profit and loss statement.
  • D. It lists a company's assets, liabilities, and net worth on the date the statement was prepared.
Answer: D
Explanation:
Step by Step Explanation:
* Balance Sheet Definition: Shows a company's financial position at a specific point in time, listing assets, liabilities, and shareholders' equity (net worth).
* Other Financial Statements:
* Profit and Loss Statement: Summarizes revenues and expenses over a period.
* Cash Flow Statement: Tracks cash inflows and outflows.
References:
* SEC Guide to Financial Statements: SEC Financials.

NEW QUESTION # 29
A broker-dealer (BD) is required to ensure a hyperlink to BrokerCheck is Included on which of the following communications?
  • A. A registered representative's (RR's) outgoing email
  • B. An email response to a complaint from a retail customer
  • C. An RR's social media site that Identifies his BD employment
  • D. The BD's homepage intended for retail customers
Answer: D

NEW QUESTION # 30
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