SIE Zertifizierungsfragen, FINRA SIE PrüfungFragen

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FINRA SIE Prüfungsplan:

Thema	Einzelheiten
Thema 1	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 2	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.
Thema 3	Regulatory Entities, Agencies, and Market Participants: This section of the exam measures the skills of Financial Regulatory Analysts and covers the structure, authority, and jurisdiction of key regulatory bodies overseeing financial markets. The SEC's role in enforcing securities regulations is assessed, along with the authority of self-regulatory organizations such as FINRA and MSRB. Candidates must also understand the functions of other financial regulators, including the Department of the Treasury and state regulatory agencies. One key skill evaluated is identifying the jurisdictional scope of different financial regulators.
Thema 4	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.

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SIE aktueller Test, Test VCE-Dumps für Securities Industry Essentials Exam (SIE)

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FINRA Securities Industry Essentials Exam (SIE) SIE Prüfungsfragen mit Lösungen (Q114-Q119):

114. Frage
In a rising interest rate environment, which of the following statements is true regarding the price of fixed-rate corporate bonds?

A. Their price will revert to par value.
B. Their price will remain constant.
C. Their price will appreciate in value.
D. Their price will depreciate in value.

Antwort: D

Begründung:
When interest rates rise, the price of fixed-rate corporate bonds falls because the bond's coupon payments become less attractive compared to new bonds issued at higher rates.
* D is correctas bond prices move inversely to interest rates.
* Ais incorrect because bond prices fluctuate with interest rate changes.
* Bis incorrect because bond prices revert to par only at maturity.
* Cis incorrect because prices do not appreciate when rates rise.

115. Frage
Which of the following rates is subject to the most frequent changes?

A. Discount
B. Call loan
C. Federal funds
D. Prime

Antwort: C

Begründung:
The federal funds rate, which is the interest rate banks charge each other for overnight loans, changes frequently due to daily fluctuations in bank reserves and market conditions.
* D is correctas it is the most sensitive to short-term market forces.
* A,B, andCchange less frequently.

116. Frage
A privacy policy opt-out direction provided by a customer is valid:

A. until the customer rescinds direction.
B. for one year.
C. as long as the account has a balance.
D. until the account is closed.

Antwort: A

Begründung:
The correct answer is D, until the customer rescinds direction. This question relates to privacy rules under Regulation S-P, which governs how financial institutions handle customers' nonpublic personal information.
When a customer exercises their right to opt out of having their personal information shared with nonaffiliated third parties, that decision remains in effect indefinitely. The firm must honor the customer's opt-out instruction continuously, unless the customer later chooses to revoke or rescind that direction.
Choice A (for one year) is incorrect because there is no expiration period for an opt-out election. Once made, it does not need to be renewed annually. Choice B (as long as the account has a balance) and C (until the account is closed) are also incorrect because the opt-out applies regardless of account status and may even extend beyond account closure in certain recordkeeping contexts.
Regulation S-P ensures customers maintain control over their personal financial information, and firms are required to provide privacy notices and allow customers the ability to opt out at any time.
Thus, the opt-out direction remains valid until the customer changes their mind, making choice D correct.

117. Frage
Corporate bonds unsecured by any pledge of property are called:

A. Collateral trust bonds
B. Debentures
C. General obligation (GO) bonds
D. Trust certificates

Antwort: B

Begründung:
Step by Step Explanation:
* Debentures: Corporate bonds not backed by physical assets or collateral. They rely on the issuer's creditworthiness.
* Incorrect Options:
* B: Trust certificates are a legacy term for bonds backed by a trust.
* C: Collateral trust bonds are secured by financial assets.
* D: GO bonds are issued by municipalities, not corporations.
SEC Guide on Corporate Bonds: SEC Corporate Bonds.

118. 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

Begründung:
The correct answer is D, Discretionary. A discretionary account allows a registered representative (RR) to make investment decisions and execute trades on behalf of the client without obtaining prior approval for each transaction. This directly matches the scenario described in the question.
Step-by-step, discretionary authority must be granted in writing by the customer and approved by the firm's principal before it can be exercised. Once approved, the RR can determine what securities to buy or sell and when to execute trades, although the account must still be managed in accordance with the customer's investment objectives and suitability requirements.
Choice A, margin, refers to borrowing money to purchase securities and does not grant trading authority to the RR. Choice B, options, is a type of account used for trading options contracts and also does not provide discretionary authority. Choice C, custodial accounts are established for minors and managed by an adult custodian, not applicable in this situation.
Thus, when an investor wants the RR to control investment decisions and timing of trades, a discretionary account is required, making Answer D correct.

119. Frage
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