LATEST BRAINDUMPS SIE PPT | SIE REVIEW GUIDE

Latest Braindumps SIE Ppt | SIE Review Guide

Latest Braindumps SIE Ppt | SIE Review Guide

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SIE Review Guide | SIE Exam Tutorial

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q29-Q34):

NEW QUESTION # 29
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. Sell a call
  • C. Purchase a call
  • D. Purchase a put

Answer: D

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 # 30
An investor buys 100 shares of a stock at $50.00 per share. The company declares a 10% stock dividend.
What will the investor's cost basis per share be following the payment of the dividend?

  • A. $45.45
  • B. $50.50
  • C. $45.00
  • D. $50.00

Answer: A

Explanation:
A stock dividend increases the number of shares owned without affecting the total cost basis. The new cost basis per share is calculated by dividing the original total investment by the new number of shares:
* Original total investment = 100 shares × $50.00 = $5,000
* After a 10% stock dividend, the investor owns 110 shares.
* New cost basis = $5,000 ÷ 110 shares =$45.45per share.
* B is correctbecause it reflects the adjusted cost basis per share.


NEW QUESTION # 31
SIPC provides investor protection for its members' customers in which of the following situations?

  • A. Losses incurred on futures contracts due to fraud or negligence
  • B. Failure of a brokerage firm in the event of insolvency
  • C. Losses greater than 10% due to systemic market decline
  • D. Failure of a brokerage firm to meet customers' investment expectations

Answer: B

Explanation:
The Securities Investor Protection Corporation (SIPC) protects customers if a broker-dealer fails due to insolvency. Coverage applies to cash and securities in customer accounts, up to $500,000total, including
$250,000 for cash.
* A is correctbecause SIPC's purpose is to protect against losses arising from a broker-dealer's insolvency.
* Bis incorrect because SIPC does not guarantee investment performance.
* Cis incorrect because SIPC does not cover market losses.
* Dis incorrect because futures contracts are not covered under SIPC.


NEW QUESTION # 32
A registered representative wants to open an account for himself at a different financial institution. Under FINRA rules, which of the following accounts requires prior written consent from his employing broker- dealer?

  • A. A 529 savings plan account established for his grandchild
  • B. An investment advisory account in which securities transactions are effected
  • C. Mutual fund accounts held directly with the fund company
  • D. Variable contracts registered under the Investment Company Act

Answer: B

Explanation:
Step by Step Explanation:
* FINRA Rule 3210: Requires registered representatives to obtain written consent from their employing broker-dealer before opening accounts at other financial institutions if securities transactions will occur.
* Incorrect Options:
* A, B, and C: These accounts are exempt because they do not involve direct securities transactions requiring monitoring.
References:
* FINRA Rule 3210 (Accounts at Other Institutions): FINRA Rule 3210.


NEW QUESTION # 33
Which of the following responses describes a FINRA member?

  • A. An associated person of a registered brokerage firm
  • B. A BD regulated by a national securities association
  • C. A natural person who is employed by a broker-dealer (BD)
  • D. A registered representative with a national securities exchange

Answer: B

Explanation:
A FINRA member is a broker-dealer that is registered with FINRA and regulated by a national securities association. Individuals employed by the member firm (e.g., registered representatives) are associated persons, not members themselves.
* D is correctbecause FINRA membership applies to broker-dealers, not individuals.
* A,B, andCare incorrect because they refer to individuals or roles within member firms, not the firms themselves.


NEW QUESTION # 34
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