EXCELLENT PDF SIE FREE HELP YOU TO GET ACQUAINTED WITH REAL SIE EXAM SIMULATION

Excellent Pdf SIE Free Help You to Get Acquainted with Real SIE Exam Simulation

Excellent Pdf SIE Free Help You to Get Acquainted with Real SIE Exam Simulation

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q86-Q91):

NEW QUESTION # 86
Pursuant to the Securities Act of 1933, registration is required for which of the following securities?

  • A. Private placements
  • B. U.S. government issues
  • C. Open-end investment companies
  • D. Municipal securities

Answer: C

Explanation:
The Securities Act of 1933 requires securities offered to the public to be registered with the SEC unless they qualify for an exemption. Open-end investment companies (mutual funds) are not exempt and must register.
* D is correctbecause mutual funds are publicly offered and require registration.
* Ais incorrect because private placements are exempt under Regulation D.
* Bis incorrect because municipal securities are exempt under Section 3(a)(2).
* Cis incorrect because U.S. government securities are also exempt under Section 3(a)(2).


NEW QUESTION # 87
Under which of the following circumstances, if any, is a registered representative (RR) permitted to share in the profits and losses of security interests that the RR has purchased jointly with a customer?

  • A. Only when the customer is an accredited investor
  • B. When the profits and losses are proportionate to the amount contributed by the RR
  • C. Under no circumstances
  • D. Only if the RR's firm is also a participant in the sharing arrangement

Answer: B

Explanation:
Under FINRA Rule 2150, registered representatives may share in profits and losses in a customer's account if:
* The customer provides written consent.
* The arrangement is approved by the RR's firm.
* The sharing is proportional to the RR's financial contribution.
* C is correctbecause it aligns with FINRA requirements.
* A,B, andDare incorrect because they do not meet the necessary conditions for sharing.


NEW QUESTION # 88
A registered representative must complete which of the following activities when entering a discretionary trade?

  • A. Only exercise discretion over market orders
  • B. Receive instructions from the customer as to the price at which to buy or sell a security
  • C. Obtain authorization from the customer before each discretionary order is entered
  • D. Indicate that discretion was exercised on the order ticket to be identified for supervisory review

Answer: D

Explanation:
FINRA Rule 3260 requires that discretionary trades be approved by the customer in writing and reviewed by the supervising firm. The order ticket must indicate that discretion was exercised to ensure proper oversight.
* B is correctbecause marking the order ticket ensures compliance with supervisory requirements.
* Ais incorrect because discretionary authority is not limited to market orders.
* Cis incorrect as discretionary trades do not require pre-approval for each trade but require prior written authorization.
* Dis incorrect because discretionary authority allows the RR to decide on price and timing without specific customer instructions.


NEW QUESTION # 89
Publicly traded limited partnership interests are typically considered:

  • A. Mutual funds
  • B. Derivative investments
  • C. Fixed-income securities
  • D. Equity securities

Answer: D

Explanation:
Step by Step Explanation:
* Publicly Traded Limited Partnerships (PTPs): Represent ownership stakes, which categorize them as equity securities. PTPs often involve sectors like real estate or energy.
* Incorrect Options:
* A: Mutual funds are pooled investment vehicles, not partnerships.
* C: Fixed-income securities are debt instruments like bonds.
* D: Derivatives include options or futures, not ownership stakes.
References:
* SEC Guidance on Publicly Traded Partnerships: SEC PTPs.


NEW QUESTION # 90
Which of the following statements is true regarding 529 savings plans?

  • A. There are income limitations for contributing to a 529 savings plan.
  • B. The account beneficiary has control over the assets in a 529 savings plan.
  • C. 529 contributions are tax deductible in all states.
  • D. Assets are transferable to another 529 savings plan tax-free if the new beneficiary is a family member of the current beneficiary.

Answer: D

Explanation:
529 savings plans are state-sponsored education savings accounts that offer tax-advantaged growth. Key features include:
* Contributions are not federally tax deductible (some states offer state-level deductions).
* No income limitations for contributions.
* The account owner, not the beneficiary, controls the plan.
* Assets can be transferred tax-free to another family member's 529 plan.
* D is correctbecause tax-free rollovers are allowed for family members of the current beneficiary.
* Ais incorrect as contributions are not universally tax deductible.
* Bis incorrect as there are no income limitations for contributing.
* Cis incorrect because the account owner, not the beneficiary, controls the assets.


NEW QUESTION # 91
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