DUMPS SIE VCE | UPDATED SIE TESTKINGS

Dumps SIE Vce | Updated SIE Testkings

Dumps SIE Vce | Updated SIE Testkings

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Tags: Dumps SIE Vce, Updated SIE Testkings, Test SIE Result, Valid SIE Exam Labs, SIE Reliable Exam Registration

The FINRA SIE certification is one of the top-rated career advancement certifications in the market. This Securities Industry Essentials Exam (SIE) (SIE) certification exam has been inspiring candidates since its beginning. Over this long time period, thousands of SIE Exam candidates have passed their Securities Industry Essentials Exam (SIE) (SIE) certification exam and now they are doing jobs in the world's top brands. You can also be a part of this wonderful community.

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q36-Q41):

NEW QUESTION # 36
A municipal securities dealer makes a political contribution of $990 to a local mayoral candidate. At the end of the quarter, to whom, if anyone, must the dealer report the contribution?

  • A. No disclosure required as the amount is below the reporting threshold
  • B. SEC
  • C. FINRA
  • D. MSRB

Answer: D

Explanation:
Step by Step Explanation:
* MSRB Rule G-37: Requires municipal securities dealers to report contributions to the MSRB, even if the amount is below the $1,000 threshold that would trigger a two-year prohibition on municipal business.
* Incorrect Options:
* SEC and FINRA: Not involved in reporting political contributions for municipal securities.
References:
* MSRB Rule G-37 (Political Contributions): MSRB Rule G-37.


NEW QUESTION # 37
Which of the following types of securities is an equity?

  • A. Commercial paper
  • B. Preferred stock
  • C. Certificate of deposit (CD)
  • D. Exchange-traded note (ETN)

Answer: B

Explanation:
Equity securities represent ownership in a company, and preferred stock is a type of equity security that pays dividends and has priority over common stock in liquidation.
* A is correctbecause preferred stock is an equity security.
* Bis incorrect because commercial paper is a short-term debt security.
* Cis incorrect because certificates of deposit (CDs) are fixed-income banking products.
* Dis incorrect because exchange-traded notes (ETNs) are unsecured debt securities.


NEW QUESTION # 38
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. Clearing corporation
  • B. Transfer agent
  • C. Underwriter
  • D. Custodian

Answer: C

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 correctbecause underwriters are considered essential participants, and their status as bad actors disqualifies the offering.
* A,C, andDare incorrect because custodians, transfer agents, and clearing corporations are not included in the "bad actor" provisions of Regulation A.


NEW QUESTION # 39
The civil penalty for an individual who is convicted of an insider trading violation is permitted to be an amount up to how many times the profit gained or loss avoided?

  • A. 1 time
  • B. 10 times
  • C. 6 times
  • D. 3 times

Answer: D

Explanation:
Under the Insider Trading and Securities Fraud Enforcement Act of 1988, the SEC may impose acivil penalty of up to three timesthe profit gained or loss avoided (referred to as "treble damages") on individuals found guilty of insider trading.
* B is correctbecause treble damages equal three times the profit or avoided loss.
* Ais incorrect because the penalty is not limited to one time the profit.
* CandDare incorrect because the penalty is capped at three times, not six or ten times.


NEW QUESTION # 40
Which of the following statements is true of an index exchange-traded fund (ETF)?

  • A. It offers an opportunity to outperform the index it tracks.
  • B. Passive ETFs will typically have lower fees than those associated with actively managed ETFs.
  • C. It has a high portfolio turnover ratio.
  • D. It is priced once daily, generally at the market close.

Answer: B

Explanation:
Passive ETFs track an index and require minimal management, leading to lower expenses compared to actively managed ETFs.
* D is correctbecause passive ETFs are cost-efficient and have lower fees.
* Ais incorrect because index ETFs have low turnover since they replicate an index.
* Bis incorrect because ETFs are priced continuously throughout the trading day.
* Cis incorrect as ETFs aim to match, not outperform, the index.


NEW QUESTION # 41
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