QUIZ 2025 SIE: PROFESSIONAL VALID SECURITIES INDUSTRY ESSENTIALS EXAM (SIE) REAL TEST

Quiz 2025 SIE: Professional Valid Securities Industry Essentials Exam (SIE) Real Test

Quiz 2025 SIE: Professional Valid Securities Industry Essentials Exam (SIE) Real Test

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Tags: Valid SIE Real Test, New SIE Braindumps Free, Exam Sample SIE Questions, Free SIE Test Questions, SIE Latest Exam

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q54-Q59):

NEW QUESTION # 54
A customer purchased $80,000 of Fund XYZ two years ago. He now wants to buy $50,000 of Fund LMN offered within the same fund family, which offers a $100,000 breakpoint under right of accumulation. Which of the following statements is true?

  • A. The customer will receive a sales charge discount on his next purchase after the account balance of the fund reaches $100,000.
  • B. The additional investment qualifies for a $100,000 breakpoint.
  • C. Each fund requires contributions of $100,000 to qualify for a breakpoint.
  • D. The customer must sign a new letter of intent to receive the $100,000 breakpoint on the additional purchase.

Answer: B

Explanation:
Step by Step Explanation:
* Right of Accumulation: Allows an investor to combine the value of existing investments within the same fund family to qualify for a breakpoint (reduced sales charge) on new purchases.
* Current Holdings: $80,000
* New Purchase: $50,000
* Total: $130,000, qualifying for the $100,000 breakpoint.
* Incorrect Options:
* B: Contributions from all funds within the same family can be aggregated.
* C: A new letter of intent is unnecessary; right of accumulation applies automatically.
* D: Discounts apply immediately, not retroactively.
References:
* FINRA Guidance on Breakpoints: FINRA Breakpoints.


NEW QUESTION # 55
When is it permissible to exercise European-style options contracts?

  • A. Only on the day of expiration
  • B. Only on the third Friday of every month
  • C. Only on the last business day before expiration
  • D. Only on the day after expiration

Answer: A

Explanation:
Step by Step Explanation:
* European-Style Options: Can only be exercised on their expiration date, unlike American-style options, which can be exercised any time before expiration.
* Incorrect Options:
* A: Not accurate; the exercise must occur specifically on the expiration date.
* C: Options cannot be exercised after expiration.
* D: The expiration date depends on the option contract, not a specific weekday.
References:
* Options Clearing Corporation (OCC) Guidelines: OCC European Options.


NEW QUESTION # 56
Corporate bonds unsecured by any pledge of property are called:

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

Answer: A

Explanation:
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.
References:
* SEC Guide on Corporate Bonds: SEC Corporate Bonds.


NEW QUESTION # 57
A retail investor owns shares of Mutual Fund ABC that paid a $0.25 dividend on September 1 and closed at
$10.00. What is the opening price once this fund trades on the ex-dividend date?

  • A. $10.00
  • B. $10.25
  • C. $9.75
  • D. $9.25

Answer: C

Explanation:
Step by Step Explanation:
* Ex-Dividend Date Pricing: On the ex-dividend date, the mutual fund's price is adjusted downward by the amount of the dividend.
* Closing Price: $10.00
* Dividend: $0.25
* Adjusted Opening Price: $10.00 - $0.25 = $9.75.
* Incorrect Options:
* A: $9.25 subtracts more than the dividend amount.
* C: $10.00 does not reflect the dividend adjustment.
* D: $10.25 adds to the price rather than subtracting the dividend.
References:
* SEC Guidance on Mutual Fund Pricing: SEC Mutual Funds.


NEW QUESTION # 58
An individual investor has $300,000 in cash and $400,000 in securities held with a financially troubled SIPC member firm for which liquidation has begun. The individual investor's cash is protected for what amount?

  • A. $300,000
  • B. $250,000
  • C. $150,000
  • D. $700,000

Answer: B

Explanation:
Step by Step Explanation:
* SIPC Coverage Limits: Protects up to $500,000 per customer, including a maximum of $250,000 for cash.
* In this case, $300,000 in cash exceeds the SIPC limit, so only $250,000 is protected.
* Incorrect Options:
* A: $150,000 understates the SIPC limit for cash.
* C: The full $300,000 in cash is not protected.
* D: Total coverage exceeds SIPC limits.
References:
* SIPC Coverage Details: SIPC Protection.


NEW QUESTION # 59
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