New Year Special Sale Limited Time 70% Discount Offer - Ends in 0d 00h 00m 00s - Coupon code: scxmas70

SIE Exam Dumps - Securities Industry Essentials Exam (SIE)

Go to page:
Question # 4

A registered representative who is terminated from a broker-dealer must notify FINRA of a residential address change for what period of time after termination?

A.

One year

B.

Two years

C.

Three years

D.

Six years

Full Access
Question # 5

Which of the following products is the most appropriate class of investments for a customer looking for income and capital gains?

A.

A growth stock

B.

A money market account

C.

A blue-chip stock mutual fund

D.

Treasury Separate Trading of Registered Interest and Principal of Securities (STRIPS)

Full Access
Question # 6

Which of the following responses describes a common feature of a hedge fund?

A.

Low liquidity for investors

B.

Low minimum investment requirement

C.

Primarily focused on fixed income investments

D.

Transparent as to the underlying investments and strategies

Full Access
Question # 7

Company ABC stock currently trades on an exchange. An ABC insider wants to sell a large number of shares of her privately held ABC stock. ABC files the necessary paperwork to register the shares, but the insider decides to wait and sell the stock at a later date. Which of the following terms best describes the type of offering that is occurring in this situation?

A.

A rights offering

B.

A private offering

C.

An exempt offering

D.

A secondary offering

Full Access
Question # 8

A customer purchased $80,000 of Fund XYZ two years ago. He now wants to buy $50,000 of Fund LMN offered within the same fund family, which offers a $100,000 breakpoint under right of accumulation. Which of the following statements is true?

A.

The additional investment qualifies for a $100,000 breakpoint.

B.

Each fund requires contributions of $100,000 to qualify for a breakpoint.

C.

The customer must sign a new letter of intent to receive the $100,000 breakpoint on the additional purchase.

D.

The customer will receive a sales charge discount on his next purchase after the account balance of the fund reaches $100,000.

Full Access
Go to page: