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Viele Leute meinen, man braucht viel fachliche IT-Kenntnisse, um die schwierigen FINRA SIE IT-Zertifizierungsprüfung zu bestehen. Nur diejenigen, die umfassende IT-Kenntnisse besitzen, sind qualifiziert dazu, sich an der FINRA SIE Prüfung zu beteiligen. Jetzt gibt es viele Methoden, die Ihre unausreichenden Fachkenntnisse wettmachen. Sie können sogar mit weniger Zeit und Energie als die fachlich gutqualifizierten die FINRA SIE Prüfung auch bestehen. Wie es heißt, viele Wege führen nach Rom.
170. Frage
A registered representative (RR) opens a new account for a customer whose investment objectives are growth and income. She makes an initial deposit of $5,500 using a series of money orders drawn from different sources, and she makes no investments for the first 30 days the account is open. At the end of that time, the customer asks to have the funds wired to an account at a different firm as her needs have changed. The RR's first course of action should be to:
Antwort: B
Begründung:
Step by Step Explanation:
* Suspicious Activity: The use of multiple money orders, lack of investment activity, and request to wire funds to another firm raise red flags for potential money laundering.
* FINRA Rules: The RR should escalate the issue by reporting internally and potentially filing a Suspicious Activity Report (SAR).
* Incorrect Options:
* A: Denying the request without investigation may violate customer instructions.
* B: Freezing the account requires a valid legal or regulatory basis.
* D: Processing the request without investigation could facilitate illegal activity.
FINRA Anti-Money Laundering (AML) Guidance: FINRA AML Rules.
171. Frage
Which of the following features is characteristic of common stock?
Antwort: C
Begründung:
Common stock represents an equity ownership interest in a corporation. A common stockholder is a residual owner: the investor may benefit from capital appreciation, may receive dividends if declared by the board of directors, and typically has voting rights. However, common stock does not provide fixed dividend payments.
Dividends on common stock are discretionary and may be increased, reduced, omitted, or resumed depending on corporate earnings, board policy, and capital needs. Choice B describes a feature more closely associated with preferred stock, which generally pays a stated dividend. Choices C and D are incorrect because common stock has the lowest priority in liquidation. In a corporate liquidation, secured creditors and bondholders are paid before preferred shareholders, and preferred shareholders are paid before common shareholders.
Common shareholders receive only what remains after all senior claims are satisfied. The SIE outline places common stock under "Equity Securities" and specifically identifies the need to know "Ownership," "order of liquidation," "limited liability," and "voting rights." Those points directly support choice A. Reference:
Section 2.1.1 Equity Securities; common stock, ownership, voting rights, and liquidation priority.
172. Frage
A registered representative is positive about the prospects of Company ABC, a publicly traded corporation.
He wants to send an email to his customers about the company's stock. Which of the following statements in that email is prohibited?
Antwort: D
Begründung:
Communications with the public must be fair, balanced, and not misleading. A registered representative may not make exaggerated, unwarranted, promissory, or predictive statements that imply certainty about future market performance. Choice D is prohibited because it states that the stock "will hit $50 per share" by a specific month. That is a definitive price prediction and creates an improper guarantee-like impression about future performance. Choice A is a factual historical statement if accurate. Choice B references a firm research rating and may be permissible if the research report is properly approved and included with appropriate disclosures. Choice C provides factual information about management experience and is not inherently prohibited if accurate and not misleading. The SIE outline includes communications with the public, general requirements, prohibited manipulative or deceptive devices, and suitability/best interest communications. It also lists FINRA Rule 2210, Communications with the Public, and SEC antifraud provisions as relevant rules.
The central rule is that sales communications may discuss opinions and facts, but they cannot promise or guarantee a specific future price. Reference: Section 3.2.5 Communications with the Public; FINRA Rule
2210; Section 3.3 Prohibited Activities.
173. Frage
Which of the following terms describes the use of overnight loans of excess reserves between banks to maintain their reserve requirements?
Antwort: D
Begründung:
Federal funds are overnight loans between banks, typically involving excess reserves held at Federal Reserve Banks. Banks with surplus reserves lend to banks that need reserves to meet regulatory reserve requirements or internal liquidity needs. The interest rate charged on these overnight loans is the federal funds rate, a key short-term interest rate that influences broader money market conditions, bank lending, and monetary policy transmission. Choice A is correct because the question specifically describes overnight interbank lending of excess reserves. Commercial paper is an unsecured short-term debt instrument issued by corporations to meet working capital needs, not an overnight reserve loan between banks. "Money market loans" is too general and is not the precise SIE term. Bankers' acceptances are short-term instruments used primarily in trade finance, especially international commerce. The SIE outline includes the Federal Reserve, monetary policy, interest rates, the federal funds rate, and money market instruments as core capital markets topics. This question tests the candidate's ability to identify a specific short-term banking and monetary-policy instrument. Reference:
Section 1.3.1 Federal Reserve Board's Impact on Business Activity and Market Stability; Section 2.1.2 Debt Instruments.
174. Frage
A market maker typically trades in which of the following capacities?
Antwort: B
Begründung:
A market maker typically trades as principal. Acting as principal means the firm buys and sells securities for its own account and stands ready to provide liquidity by quoting bid and ask prices. The market maker buys at the bid and sells at the ask, earning the spread as compensation for committing capital and assuming inventory risk. Choice C is correct. An agent or broker acts on behalf of a customer and generally earns a commission rather than trading from inventory. Although a firm can act in different capacities in different transactions, the defining role of a market maker is principal trading. "Fiduciary" describes a legal standard of care, often associated with investment advisers, not the trading capacity of a market maker. The SIE outline identifies traders and market makers as market participants and also requires candidates to understand trade capacity, including principal versus agency. This question tests that distinction directly: brokers arrange trades for others, while dealers and market makers trade for their own accounts. Reference: Section 1.1.4 Market Participants and Their Roles; Section 3.1.1 Orders and Strategies.
175. Frage
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P.S. Kostenlose 2026 FINRA SIE Prüfungsfragen sind auf Google Drive freigegeben von Pass4Test verfügbar: https://drive.google.com/open?id=1Vs_iK11smFmUt6bndUwf-w1AvebEAmUU