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| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | Securities Industry Essentials (SIE) Exam |
| Exam Number: | SIE |
| Exam Duration: | 105 minutes |
| Certificate Validity Period: | 4 years |
| Real Exam Qty: | 75 scored multiple-choice questions |
| Available Languages: | English |
| Exam Price: | $80 USD |
| Related Certifications: | FINRA Series 7 FINRA Series 79 FINRA Series 6 |
| Exam Format: | Multiple-choice, Computer-based exam |
| Passing Score: | 70% |
| Recommended Training: | FINRA SIE Exam Content Outline FINRA Securities Industry Essentials Exam Overview |
| Exam Registration: | FINRA Exam Registration Overview FINRA SIE Exam Official Page |
| 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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54. Frage
A customer wants to establish an account for the benefit of his grandchildren. He states to his registered representative that he wants to be able to control the distribution of the assets and direct how the account will be invested. Which of the following account types is most appropriate?
Antwort: A
Begründung:
Step by Step Explanation:
* Trust Accounts: Provide the account owner (trustee) full control over distributions and investment decisions. Suitable for complex estate planning needs.
* Incorrect Options:
* UTMA: Transfers control to the minor upon reaching the age of majority.
* 529 Plan: Used for educational savings, with limited control over distributions.
* CD: A fixed-term deposit, not an account type for managing distributions.
SEC and FINRA Guidelines on Trusts: FINRA Trust Accounts.
55. Frage
A confirmation indicates a 100-share purchase of Company ABC at $11. According to SEC rules, which of the following information is required to be stated on the confirmation?
Antwort: C
Begründung:
Step by Step Explanation:
* SEC Rule 10b-10: Requires trade confirmations to disclose the capacity in which the firm acted (e.g., as agent or principal) and details like trade price, quantity, and commissions.
* Incorrect Options:
* A: Cost basis is not disclosed on trade confirmations.
* B: Inventory levels are not part of the required disclosures.
* C: Market maker status is not explicitly required in the confirmation.
References:
* SEC Rule 10b-10 (Confirmation Requirements): SEC Rule 10b-10.
56. Frage
The Options Clearing Corporation is a registered clearing agency for which of the following products?
Antwort: C
Begründung:
Long-term Equity Anticipation Securities, commonly called LEAPS, are long-term listed options. Because LEAPS are options contracts, they fall within the clearing function of the Options Clearing Corporation. The OCC acts as the central clearing agency for listed options and becomes the counterparty to both sides of a listed options transaction after execution, thereby standardizing performance and reducing counterparty risk.
Preferred stocks and exchange-traded funds are equity securities, not options contracts. Over-the-counter bonds are debt instruments and are not cleared through the OCC as listed options. The key technical distinction is product type: LEAPS are not a separate equity security; they are call or put options with longer expiration cycles than standard listed equity options. The SIE outline expressly includes "Options Clearing Corporation (OCC) for listed options" under options knowledge, along with puts, calls, expiration dates, strike prices, premiums, exercise, assignment, and long/short strategies. This directly supports the answer.
Reference: Section 2.1.3 Options; OCC for listed options.
57. Frage
Which of the following responses best describes the primary strategy that an investor uses when selling a covered call?
Antwort: C
Begründung:
A covered call involves selling a call option on a stock the investor already owns. The strategy generates income in the form of the premium collected for selling the call, providing additional returns on the stock position.
* D is correct because the primary goal of a covered call is to generate income.
* A is incorrect because covered calls do not hedge against large declines in the stock price.
* B is incorrect because speculation involves taking higher risks, not a covered call's conservative strategy.
* C is incorrect because no strategy guarantees a profit.
Reference: SIE Study Guide, Chapter 8: Options Strategies
58. Frage
What is the minimum maintenance requirement for a long margin account containing only common stock?
Antwort: C
Begründung:
The correct answer is B, 25%. The minimum maintenance requirement for a long margin account holding common stock is established by FINRA Rule 4210, which requires that investors maintain at least 25% equity in the account relative to the current market value of the securities.
This requirement is different from the initial margin requirement, which is set by Regulation T of the Federal Reserve and is typically 50% for purchasing securities. Once the position is established, the maintenance requirement ensures that the investor continues to have sufficient equity in the account to support the borrowed funds.
If the equity in the account falls below 25% due to a decline in the value of the securities, the investor will receive a maintenance (margin) call, requiring them to deposit additional funds or securities to bring the account back into compliance.
Choice A (5%) is far too low and not a regulatory standard. Choice C (50%) refers to initial margin, not maintenance. Choice D (75%) is not a recognized requirement.
Thus, the correct minimum maintenance requirement for long margin accounts with common stock is 25%, making choice B correct.
59. Frage
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