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NEW QUESTION # 389
Which of the following terms is used to describe a measure of the price volatility or correlation of a security in relation to movements in the overall market?
Answer: A
Explanation:
Beta measures how sensitive a security's returns are to movements in a broader market index (often described as the security's volatility relative to the market). That makes choice A correct. Conceptually, beta estimates the degree to which a stock tends to move when the overall market moves. A beta of 1.0 suggests the security tends to move in line with the market. A beta greater than 1.0 indicates the security has historically been more volatile than the market (tending to rise more in up markets and fall more in down markets). A beta less than
1.0 indicates lower relative volatility. A negative beta (rare) indicates the security tends to move opposite the market.
Alpha, in contrast (choice B), is typically discussed as a measure of risk-adjusted excess return versus a benchmark-how much a manager or security outperformed/underperformed after accounting for market risk.
The Sharpe ratio (choice C) measures risk-adjusted return using total volatility (standard deviation) and compares return above a risk-free rate per unit of risk; it is not a correlation-to-market measure. The P/E ratio (choice D) is a valuation metric (price per share divided by earnings per share) and does not measure volatility or correlation.
On the SIE, beta is most commonly tested as a systematic (market) risk concept. It relates to how much of a security's risk is tied to broad market movements versus diversifiable company-specific factors.
Understanding beta helps in portfolio construction and in explaining why some stocks are considered more aggressive or more defensive relative to market swings.
NEW QUESTION # 390
Under which of the following circumstances, if any, is it permissible for an individual without a Power of Attorney (POA) to sign a customer's name on their behalf?
Answer: D
Explanation:
Step by Step Explanation:
* Prohibition on Signing Customer Names: It is never permissible to sign a customer's name without written authorization (POA) due to legal and ethical concerns. Unauthorized signing constitutes forgery and violates FINRA rules.
* Incorrect Options:
* A: Firm principal approval does not override this prohibition.
* B: Verbal authorization is insufficient.
* C: Discretionary authority does not allow unauthorized signing.
:
FINRA Rule 4512 (Customer Account Information): FINRA Rule 4512.
NEW QUESTION # 391
Pursuant to the Securities Act of 1933, registration is required for which of the following securities?
Answer: B
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 # 392
Which of the following statements is true about U.S. government agency issues?
Answer: A
Explanation:
U.S. government agency securities (often called "agencies") typically offer investors a higher yield than U.S.
Treasury securities of comparable maturity, which is why choice D is the best answer. Treasuries are direct obligations of the U.S. government and are widely regarded as having the lowest credit risk in the marketplace. Agency securities, however, vary by issuer and by the type of guarantee involved. Some agencies are backed by the full faith and credit of the U.S. government, but many are not; instead, they may have implicit support or support that is limited to the issuing agency's resources. Because the market generally views many agency issues as having slightly more credit or structural risk than Treasuries, investors often demand a yield premium as compensation.
Choice C is incorrect as a blanket statement because not all agency issues carry full faith and credit backing.
This distinction is a common SIE test point: candidates must recognize that "agency" does not automatically mean "Treasury-equivalent." Choice A is incorrect because interest payments on agency bonds are not universally quarterly; payment frequency can vary (many pay semiannually like Treasuries, but it depends on the issue). Choice B is incorrect because agencies are not restricted to trading on the NYSE; they commonly trade in the secondary market through dealer networks (often OTC), and trading venue depends on the specific product.
This question is testing product knowledge: the relationship between credit/guarantee features and yield, and how securities with slightly greater perceived risk than Treasuries often trade at higher yields to attract buyers.
NEW QUESTION # 393
An investor purchases a Sep 30 XYZ call for a premium of 5. What will the investor pay for this option?
Answer: D
Explanation:
The correct answer is C, $500. In options trading, the quoted premium is given on a per-share basis, but each standard options contract represents 100 shares of the underlying stock.
Step 1: Identify the premium. The premium is quoted as 5, which means $5 per share.
Step 2: Determine the contract size. One standard equity option contract controls 100 shares.
Step 3: Calculate the total cost.
$5 × 100 shares = $500 total premium paid
This means the investor must pay $500 to purchase the call option.
Choice A ($5) is incorrect because it reflects only the per-share premium, not the total contract cost. Choice B ($30) incorrectly uses the strike price (30), which is unrelated to the premium paid. Choice D ($3,000) incorrectly multiplies the strike price by 100, which represents the exercise value, not the premium.
For the SIE exam, it is essential to remember that all listed equity options are quoted per share but traded in contracts of 100 shares, so always multiply the premium by 100 to find the total cost.
Thus, the correct total payment is $500, making answer C correct.
NEW QUESTION # 394
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