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NEW QUESTION # 55
SIPC provides investor protection for its members' customers in which of the following situations?
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 $500,000 total, including
$250,000 for cash.
* A is correct because SIPC's purpose is to protect against losses arising from a broker-dealer's insolvency.
* B is incorrect because SIPC does not guarantee investment performance.
* C is incorrect because SIPC does not cover market losses.
* D is incorrect because futures contracts are not covered under SIPC.
Reference: Securities Investor Protection Act of 1970; SIPC FAQs
NEW QUESTION # 56
Which of the following entitles is primarily responsible for providing Internal settlement, accounting and tax support services for securities owned by an investment company?
Answer: B
NEW QUESTION # 57
If an investor is bullish on ABC, which of the following actions will he most likely take?
Answer: D
Explanation:
A bullish investor expects the price of the underlying security to rise. Selling a put is a bullish options strategy because the put seller has the obligation to buy the stock if assigned. The strategy profits if the stock remains above the strike price and the option expires worthless, allowing the seller to keep the premium. Therefore, choice A is correct. Selling calls is generally a neutral-to-bearish strategy because the call writer benefits if the stock does not rise above the strike price. Selling stock reflects reducing or eliminating ownership and is not a bullish action. Selling stock short is bearish because the investor profits if the stock declines and can repurchase the shares at a lower price. The SIE outline requires knowledge of "puts and calls," "hedging or speculation," "covered vs. uncovered," "exercise and assignment," and "varying strategies." It also includes
"bearish and bullish" under trading strategies. This question integrates options directionality with investor market outlook. Reference: Section 2.1.3 Options; Section 3.1.1 Orders and Strategies.
NEW QUESTION # 58
On settlement date, a customer is unable to pay for a purchase in his cash account. His position is liquidated.
Which of the following statements is true according to Federal Reserve Regulation T?
Answer: B
Explanation:
Federal Reserve Regulation T mandates that customers must pay for purchases in a cash account within two business days of settlement (T+4). If payment is not made, the brokerage firm must liquidate the securities and place the account on a 90-day restriction.
* C is correct because the customer's account is frozen for 90 days, during which all trades must be paid for in advance.
* A is incorrect as closing transactions are still permitted but require prepayment.
* B is incorrect because the restriction lasts for 90 days, not 30.
* D is incorrect as only the delinquent account, not related accounts, is frozen.
Reference: Federal Reserve Regulation T
NEW QUESTION # 59
Which of the following discretionary decisions is a registered representative permitted to make on the day oral authorization is received?
Answer: A
Explanation:
A registered representative may exercise limited discretion over the timing and price of an order on the day the customer gives oral authorization. This is often called time-and-price discretion. It does not require the same written discretionary account authorization as full discretion, provided the customer has specified the essential terms of the trade and the discretion is exercised only on that trading day. Choice D is correct. A representative may not independently decide whether to buy or sell without discretionary authority because that changes the fundamental action. The representative also may not independently choose the security or the number of shares without proper written discretionary authorization and supervisory acceptance. Choices A, B, and C therefore involve material investment decisions that exceed time-and-price discretion. The SIE outline includes discretionary versus non-discretionary accounts, order types, solicited versus unsolicited trades, and FINRA Rule 3260 on discretionary accounts. The key technical distinction is that full discretion includes action, asset, or amount, while temporary oral discretion is limited to execution timing and price only. Reference: Understanding Trading, Customer Accounts and Prohibited Activities; Orders and Strategies; Discretionary Accounts; FINRA Rule 3260.
NEW QUESTION # 60
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To pass the SIE exam, you must put in a lot of time studying, practicing, and working hard. You will need real FINRA SIE Questions and the necessary understanding of the exam's format to pass the SIE test. Without preparing with actual Securities Industry Essentials Exam (SIE) (SIE) questions, applicants find it difficult to get the knowledge essential to pass the FINRA certification exam in a short time.
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