SIE VALID EXAM DISCOUNT & SIE TEST DURATION

SIE Valid Exam Discount & SIE Test Duration

SIE Valid Exam Discount & SIE Test Duration

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Tags: SIE Valid Exam Discount, SIE Test Duration, SIE New Real Test, SIE Exam Study Solutions, Valid SIE Exam Materials

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SIE dumps torrent: Securities Industry Essentials Exam (SIE) - SIE study materials

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q145-Q150):

NEW QUESTION # 145
Which of the following terms describes an offer to purchase some or all shareholders' shares in a corporation, usually at a premium to the market price?

  • A. Tender
  • B. Redemption
  • C. Class action
  • D. Stock split

Answer: A

Explanation:
Step by Step Explanation:
* Tender Offer Definition: A tender offer is an offer to purchase a certain number of shares from shareholders, typically at a price above the current market value. This is often part of mergers, acquisitions, or corporate takeovers.
* Stock Split: A stock split increases the number of shares but decreases the price per share without affecting the total value of an investor's holdings.
* Redemption: Redemption refers to the repayment of a bond or preferred stock at maturity or at a predetermined date.
* Class Action: A class action is a lawsuit filed by a group of people with similar grievances.
References:
* SEC Rule 14e on tender offers: SEC Tender Offers.


NEW QUESTION # 146
Class A and Class C shares of a mutual fund differ in which of the following ways?

  • A. The net asset value (NAV)
  • B. When the customer is permitted to purchase
  • C. The underlying investments
  • D. The expense ratio

Answer: D

Explanation:
Step by Step Explanation:
* Expense Ratio: Class A shares typically have lower ongoing expense ratios but higher front-end sales charges. Class C shares often have higher ongoing expense ratios but no front-end charges.
* Incorrect Options:
* B: NAV is determined daily and does not vary by share class.
* C: All share classes invest in the same underlying portfolio.
* D: Purchase timing is the same for all share classes.
References:
* SEC Guidance on Mutual Fund Share Classes: SEC Fund Classes.


NEW QUESTION # 147
A customer purchases 100 shares of stock. The customer fears a decline in the share price and would like to protect his investment and minimize loss. Which of the following strategies should the customer employ to lock in his profit?

  • A. Sell a put
  • B. Purchase a call
  • C. Purchase a put
  • D. Sell a call

Answer: C

Explanation:
Purchasing a put option allows the customer to sell the stock at a predetermined price (the strike price) if the share price declines. This strategy protects against downside risk while maintaining upside potential.
* C is correctbecause a put acts as insurance, locking in a minimum sale price.
* Ais incorrect because selling a put exposes the investor to additional risk if the stock declines.
* Bis incorrect because selling a call generates income but does not protect against downside risk.
* Dis incorrect because purchasing a call is a bullish strategy unrelated to protecting existing positions.


NEW QUESTION # 148
Which of the following statements is a characteristic of a government bond fund?

  • A. The value of the fund is not guaranteed by the government or any federal agency.
  • B. If interest rates fall, the net asset value (NAV) of the fund will likely drop as well.
  • C. Government bond funds are diversified.
  • D. Dividend/interest payments will be the same each month.

Answer: A

Explanation:
Step by Step Explanation:
* Government Bond Funds: Invest in government-backed securities, but the value of the fund itself is not guaranteed by the government, as these funds are subject to market risks.
* Incorrect Options:
* A: Diversification depends on the fund's investment strategy.
* B: Interest/dividend payments may fluctuate.
* C: If interest rates fall, NAVs typically rise, not drop.
References:
* SEC Guidance on Mutual Funds: SEC Government Bond Funds.


NEW QUESTION # 149
Which of the following account registration types is subject to probate upon the death of the account owner?

  • A. Individual
  • B. Irrevocable trust
  • C. Joint tenants with right of survivorship (JTWROS)
  • D. Transfer-on-death (TOD)

Answer: A

Explanation:
Accounts held individually are subject to probate, which is the legal process of administering the decedent's estate. Probate determines the distribution of assets according to the deceased's will or state intestacy laws.
* A is correctbecause individual accounts require probate to transfer assets.
* Bis incorrect because irrevocable trusts bypass probate.
* Cis incorrect because TOD accounts allow direct transfer of assets to named beneficiarieswithout probate.
* Dis incorrect because JTWROS accounts transfer ownership to the surviving account holder automatically.


NEW QUESTION # 150
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