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| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | Securities Industry Essentials (SIE) Exam |
| Exam Number: | SIE |
| Exam Duration: | 105 minutes |
| Exam Price: | $80 USD |
| Real Exam Qty: | 75 scored multiple-choice questions |
| Related Certifications: | FINRA Series 79 FINRA Series 7 FINRA Series 6 |
| Passing Score: | 70% |
| Certificate Validity Period: | 4 years |
| Exam Format: | Computer-based exam, Multiple-choice |
| Available Languages: | English |
| Recommended Training: | FINRA Securities Industry Essentials Exam Overview FINRA SIE Exam Content Outline |
| Exam Registration: | FINRA SIE Exam Official Page FINRA Exam Registration Overview |
| Sample Questions: | FINRA SIE Sample Questions |
| Exam Way: | Computer-based exam delivered at authorized testing centers (Prometric). |
| Pre Condition: | No formal prerequisites required. Recommended for individuals entering the U.S. securities industry. |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam |
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NEW QUESTION # 286
Which of the following statements best describes the permissibility of a borrowing arrangement between a registered representative (RR) and a customer who is also the RR's grandfather?
Answer: B
Explanation:
Step by Step Explanation:
* FINRA Rule 3240: Permits borrowing or lending arrangements between RRs and customers under specific conditions, including familial relationships, provided the arrangement complies with the firm's policies.
* Incorrect Options:
* A: FINRA approval is not required; firm approval is.
* B: A written agreement alone is insufficient without firm approval.
* C: Commercially reasonable terms are not the sole criterion for permissibility.
FINRA Rule 3240 (Borrowing from or Lending to Customers): FINRA Rule 3240.
NEW QUESTION # 287
A customer purchased 100 shares of Company XYZ common stock five years ago for $20.00 per share. Over the life of her investment, the customer received cash dividends of $2.00 per share, on which she paid total income taxes of $0.50 per share. She recently sold the stock for $30.00 per share. What is the customer's cost basis in each share of XYZ stock?
Answer: A
Explanation:
The cost basis of a stock represents the purchase price and does not include dividends received. Taxes paid on dividends also do not affect the cost basis.
* Original purchase price per share = $20.00.
* Dividends and taxes on dividends do not adjust the stock's cost basis.
* A is correct because the cost basis remains $20.00.
* B, C, and D incorrectly assume that dividends or taxes change the cost basis.
Reference: IRS Publication 550: Investment Income and Expenses
NEW QUESTION # 288
In performing fundamental analysis of an equity, which of the following elements should an investor consider?
Answer: C
Explanation:
Fundamental analysis focuses on evaluating a company's financial health and potential for growth by analyzing its financial statements, such as the income statement, balance sheet, and cash flow statement.
* C is correct because financial statements provide the data necessary for fundamental analysis.
* A and B are incorrect because chart patterns and moving averages are tools of technical analysis, not fundamental analysis.
* D is incorrect because resistance and support levels are also part of technical analysis.
Reference: SIE Study Guide, Chapter 6: Fundamental Analysis
NEW QUESTION # 289
Which of the following portfolios is diversified across asset classes?
Answer: C
Explanation:
Diversification across asset classes means allocating capital among different broad categories of investments, such as equities, fixed income, cash equivalents, real estate, or alternatives. A portfolio containing both equity and fixed income securities is diversified across asset classes because common stocks and bonds have different risk-return profiles, income characteristics, volatility patterns, and sensitivity to economic conditions. Choice A is not diversified across asset classes because regional bank stocks are concentrated in one industry and one geographic region. Choice C is diversified by maturity within one asset class- municipal bonds-but it remains a fixed income portfolio. Choice D has exposure to different types of real estate properties, but REITs remain primarily a real estate equity sector exposure, not broad asset-class diversification. The SIE outline includes "Strategies for Mitigation of Risk," specifically "Diversification," and also identifies core product categories such as equity securities, debt instruments, REITs, and packaged products. The exam distinction is whether diversification is across sectors, maturities, issuers, or true asset classes. Only choice B clearly crosses asset classes. Reference: Section 2.1 Products; Section 2.2 Investment Risks, strategies for mitigation of risk.
NEW QUESTION # 290
The financial risk that a given security is not readily tradable in the market without impacting the market price is known as:
Answer: D
Explanation:
Step by Step Explanation:
* Liquidity Risk: Refers to the difficulty of selling a security quickly without significantly affecting its price. This is common in thinly traded securities or complex instruments.
* Other Risks:
* Credit Risk: Relates to the possibility of default by the issuer.
* Market Risk: Pertains to overall price changes due to market conditions.
* Prepayment Risk: Associated with mortgage-backed securities and early repayment of loans.
References:
* SEC Investor Bulletin on Risks: SEC Risk Guidance.
NEW QUESTION # 291
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