Open the auxiliary access

Firefly Open Source Community

   Login   |   Register   |
New_Topic
Firefly Open Source Community › Core Board › Core-1126-JD4› 完全覆蓋的SIE考試內容＆保證FINRA SIE考試成功 -專業的 ...
New Topic
Print Previous Topic Next Topic

[General] 完全覆蓋的SIE考試內容＆保證FINRA SIE考試成功 -專業的SIE考古題介紹

mikewal262

130

Credits

0

Prestige

0

Contribution

registered members

Rank: 2

Credits
130

【General】 完全覆蓋的SIE考試內容＆保證FINRA SIE考試成功 -專業的SIE考古題介紹

Posted at 10 hour before      View：21 | Replies：0        Print      Only Author   [Copy Link] 1#
P.S. VCESoft在Google Drive上分享了免費的2026 FINRA SIE考試題庫：https://drive.google.com/open?id=1vfq-2-ojkgzTxwZCJyfh2viCCXjSiM0a
你對VCESoft瞭解多少呢？你有沒有用過VCESoft的FINRA考試考古題，或者你有沒有聽到周圍的人提到過VCESoft的考試資料呢？作為FINRA認證考試的相關資料的專業提供者，VCESoft肯定是你見過的最好的網站。為什麼可以這麼肯定呢？因為再沒有像VCESoft這樣的網站，既可以提供給你最好的資料保證你通過SIE考試，又可以提供給你最優質的服務，讓你100%地滿意。
FINRA SIE 考試大綱：
主題簡介
主題 1
  • 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.
主題 2
  • 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.
主題 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.
主題 4
  • 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.

高通過率的SIE考試內容，高質量的考試指南幫助妳快速通過SIE考試VCESoft能為你提供一個可靠而全面的關於通過FINRA SIE 認證考試的方案。我們的方案是可以100%保證你通過考試的，並且還為你提供一年的免費更新服務。現在你還可以嘗試在VCESoft的網站上免費下載我們您提供的FINRA SIE 認證考試的測試軟體和部分練習題和答案來。
最新的 General Securities Representative SIE 免費考試真題 (Q82-Q87):問題 #82
Executing trades using the delivery versus payment (DVP) settlement process requires the buyer to make a cash payment by which of the following deadlines?
  • A. Before or at the same time as securities being delivered
  • B. By the agreed-upon settlement date with the issuer
  • C. No later than 3 days after the securities are delivered
  • D. On the 5th business day after execution
答案：A
解題說明：
Step by Step Explanation:
* DVP Process: Ensures that payment occurs simultaneously with the delivery of securities, mitigating counterparty risk. Cash payment is made before or at the time of delivery.
* Incorrect Options:
* A: The T+5 timeline is not standard for DVP.
* C: Payment must occur at delivery, not after.
* D: Settlement date agreements with the issuer are irrelevant for DVP.
FINRA Guidelines on DVP/RVP Transactions: FINRA DVP Info.

問題 #83
Which of the following responses accurately describes a secondary market transaction?
  • A. Buying securities on a registered securities exchange
  • B. Buying securities in a private placement from a broker-dealer
  • C. Buying securities directly from the issuing company
  • D. Buying open-end mutual fund shares
答案：A
解題說明：
A secondary market transaction occurs when securities are bought and sold between investors, typically on an exchange.
* C is correctbecause securities purchased on a registered exchange are secondary market transactions.
* Ais incorrect as open-end mutual fund shares are purchased directly from the issuer.
* Brefers to the primary market.
* Dis also incorrect as private placements occur in the primary market.

問題 #84
SEC Regulation S-P (Consumer Privacy) requires certain information to be included in privacy notices delivered to customers of broker-dealers (BDs). Which of the following information is required to be included in the privacy notice?
  • A. The BD's policies and practices for protecting the customer's nonpublic personal information
  • B. The name and telephone number of the BD's chief compliance officer
  • C. The website and telephone number of the Consumer Financial Protection Bureau (CFPB)
  • D. The website and telephone number of SIPC
答案：A
解題說明：
Regulation S-P mandates that broker-dealers disclose how they collect, protect, and share customers' nonpublic personal information. The privacy notice must include:
* The categories of information collected.
* The firm's policies for safeguarding data.
* Opt-out rights for sharing information with unaffiliated third parties.
* D is correct because privacy notices must describe policies for protecting customer information.
* A, B, and C are incorrect because they do not relate to the required elements of Regulation S-P privacy notices.
Reference: SEC Regulation S-P (Privacy of Consumer Financial Information)

問題 #85
Which of the following responses describes treasury stock?
  • A. U.S. government securities held by a corporation
  • B. Stock subsequently reacquired by the issuer
  • C. Authorized but unissued stock
  • D. Restricted stock owned by officers
答案：B
解題說明：
Treasury stock refers to shares that were issued by a company and subsequently repurchased by the company.
These shares are held in the company's treasury and are not considered outstanding.
* C is correct because treasury stock is stock reacquired by the issuer.
* A is incorrect because authorized but unissued stock has never been issued.
* B is incorrect because restricted stock refers to shares issued with restrictions on transferability, not reacquired stock.
* D is incorrect because it incorrectly refers to government securities, not corporate stock.
Reference: SIE Study Guide, Chapter 5: Corporate Securities

問題 #86
Which of the following company details is included on a balance sheet?
  • A. Revenues and expenses
  • B. Assets, debts and number of investors
  • C. Assets, debts and the amount invested in the company
  • D. Earnings at a specific point in time
答案：C
解題說明：
A balance sheet provides a snapshot of a company's financial position at a specific point in time by showing what the company owns and owes, and the residual value attributable to owners. The core balance sheet equation is Assets = Liabilities + Shareholders' Equity. That is why the best description among the choices is
"assets, debts, and the amount invested in the company"-assets correspond to resources owned, debts correspond to liabilities owed, and the "amount invested" corresponds to equity (often including paid-in capital and retained earnings). This aligns with how fundamental analysis uses financial statements to evaluate issuer health, leverage, and capitalization.
Choice A (revenues and expenses) describes an income statement, which measures operating performance over a period of time (e.g., a quarter or a year), not a point-in-time snapshot. Choice B is misleading: while a balance sheet is indeed "at a specific point in time," it does not show "earnings" at a point in time. Earnings are generated over a period and appear on the income statement; the balance sheet may reflect accumulated earnings through retained earnings, but it is not an earnings statement. Choice C is incorrect because the balance sheet does not include the "number of investors" as a standard line item. Public companies disclose shares outstanding elsewhere, but investor count is not a balance sheet category.
For SIE purposes, the key is recognizing which statement answers which question: balance sheet = financial position (assets, liabilities, equity), income statement = profitability (revenue, expenses, net income), and cash flow statement = sources/uses of cash.

問題 #87
......
有了VCESoft的SIE考古題，即使你只用很短的時間來準備考試，你也可以順利通過考試。因為VCESoft的考古題包含了在實際考試中可能出現的所有問題，所以你只需要記住SIE考古題裏面出現的問題和答案，你就可以輕鬆通過考試。這是通過考試最快的捷徑了。如果你工作很忙實在沒有時間準備考試，但是又想取得SIE的認證資格，那麼，你絕對不能錯過VCESoft的SIE考古題。因為這是你通過考試的最好的，也是唯一的方法。
SIE考古題介紹: https://www.vcesoft.com/SIE-pdf.html
BONUS!!! 免費下載VCESoft SIE考試題庫的完整版：https://drive.google.com/open?id=1vfq-2-ojkgzTxwZCJyfh2viCCXjSiM0a
https://www.itexamreview.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