SIE Zertifizierungsantworten, SIE Testengine

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FINRA SIE Prüfungsplan:

Thema	Einzelheiten
Thema 1	Overview of the Regulatory Framework: This section of the exam measures the skills of Compliance Officers and evaluates knowledge of self-regulatory organization (SRO) requirements, including registration and continuing education for associated persons. Candidates must understand the distinction between registered and non-registered individuals and the requirements for maintaining industry qualifications.
Thema 2	Employee Conduct and Reportable Events: This section of the exam measures the skills of Financial Compliance Specialists and covers regulatory expectations regarding employee conduct and disclosure requirements. Candidates must be familiar with Form U4 and Form U5, as well as reporting obligations for outside business activities and political contributions.
Thema 3	Understanding Trading, Customer Accounts, and Prohibited Activities: This section of the exam measures the skills of Securities Traders and focuses on different trading strategies, settlement processes, and corporate actions. Candidates must demonstrate knowledge of order types, including market, limit, stop, and good-til-canceled orders, as well as bid-ask spreads and discretionary versus non-discretionary trading.

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FINRA Securities Industry Essentials Exam (SIE) SIE Prüfungsfragen mit Lösungen (Q369-Q374):

369. Frage
Which of the following responses best describes a short sale?

A. A sale of securities that the investor does not own
B. A sale of securities that results in a loss
C. A sale of securities that results in an unsecured debit balance in the investor's account
D. A sale of securities that the investor had purchased in his cash account but had not yet paid for

Antwort: A

Begründung:
Step by Step Explanation:
* Short Sale Definition: Involves selling borrowed securities with the expectation of repurchasing them at a lower price.
* Investor Ownership: Short sales do not involve securities already owned by the seller.
* Other Options: None of the other choices accurately define a short sale.
References:
* SEC Regulation SHO (Short Selling): SEC Short Sales.

370. Frage
An investor decides to use a registered representative to make investment decisions for his account, as well as decide when to place any trades. Which of the following types of accounts should the investor open?

A. Margin
B. Options
C. Discretionary
D. Custodial

Antwort: C

371. Frage
Which of the following statements describes the composition of FINRA arbitration panels for customer disputes?

A. All arbitrators are practicing attorneys.
B. All arbitrators are employed in the securities industry.
C. Panels are permitted to be a combination of industry and public arbitrators.
D. Arbitrators are randomly chosen from a pool established jointly by the claimant and the respondent.

Antwort: C

Begründung:
The correct answer is C, Panels are permitted to be a combination of industry and public arbitrators. FINRA arbitration panels are designed to ensure fairness and neutrality in resolving disputes between customers and broker-dealers.
Step-by-step, FINRA classifies arbitrators into two main categories:
Public arbitrators, who have no significant ties to the securities industry Industry arbitrators, who have experience working within the securities industry For customer disputes, panels may include a mix of these arbitrators. In many cases, especially for larger claims, panels consist of two public arbitrators and one industry arbitrator, though customers may request an all-public panel.
Choice A is incorrect because arbitrators are not required to be attorneys. Choice B is incorrect because not all arbitrators come from the securities industry-public arbitrators are specifically included to provide impartiality. Choice D is incorrect because arbitrators are selected from a FINRA-provided roster, and while parties can rank and strike candidates, they do not jointly create the pool.
Thus, FINRA arbitration panels are intentionally structured as a combination of public and industry arbitrators, ensuring balanced perspectives, making Answer C correct.

372. Frage
When is a newly registered person subject to the Continuing Education Regulatory Element requirement?

A. Every three years after the date of registration
B. The calendar year following initial registration
C. On the anniversary date of initial registration
D. Every five years

Antwort: C

Begründung:
Step by Step Explanation:
* Regulatory Element Requirement: Newly registered persons must complete the Continuing Education (CE) Regulatory Element on the second anniversary of their initial registration and every three years thereafter.
* Incorrect Options:
* A: The requirement begins on the second anniversary, not the following calendar year.
* D: The cycle is every three years, not five.
:
FINRA Rule 1240 (Continuing Education): FINRA Rule 1240.

373. Frage
When exercised, an option written on which of the following items must be settled in cash?

A. Exchange-traded funds (ETFs)
B. Preferred stock
C. Equity index
D. Master limited partnership

Antwort: C

Begründung:
Step by Step Explanation:
* Equity Index Options: These are cash-settled because the underlying asset is not a physical security but a theoretical value representing the index.
* Incorrect Options:
* Preferred Stock, Master Limited Partnerships, and ETFs: These involve physical delivery of the underlying asset upon exercise.
References:
* Options Clearing Corporation (OCC) Guidelines: OCC Cash-Settled Options.

374. Frage
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