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SIE echter Test & SIE sicherlich-zu-bestehen & SIE Testguide

Die Schulungsunterlagen zur FINRA SIE Zertifizierungsprüfung von unserem PrüfungFrage sind führend unter allen Vorbereitern für FINRA SIE. Unsere Prüfungsfragen und Antworten zur FINRA SIE Zertifizierung sind das Ergebnis der langjährigen ständigen Untersuchung und Erforschung von den erfahrenen IT-Experten aus PrüfungFrage. Sie verfügen über hohe Genauigkeiten und große Reichweite. Wenn Sie unsere Produkte kaufen, werden Sie eihjährige Aktualisierung genießen.

FINRA SIE Prüfungsplan:

Thema
Einzelheiten

Thema 1

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.

Thema 2

Market Structure: This section of the exam measures the skills of Equity Market Specialists and covers the classification of financial markets, including the primary, secondary, third, and fourth markets. Candidates must demonstrate knowledge of electronic trading, over-the-counter (OTC) markets, and physical exchanges. One specific skill tested is differentiating between various market types and their operational mechanisms.

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

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.

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SIE Fragen & Antworten & SIE Studienführer & SIE Prüfungsvorbereitung

Die Prüfungsmaterialien von FINRA SIE Zertifizierungsprüfung von unserem PrüfungFrage existieren in der Form von PDF und Stimulationssoftware, in der alle Testaufgaben und Antworten von FINRA SIE Zertifizierung enthalten sind. Inhalte dieser Lehrbücher sind umfassend und zuversichtlich. Hoffentlich kann PrüfungFrage Ihr bester Hilfer bei der Vorbereitung der FINRA SIE Zertifizierungsprüfung werden. Falls Sie leider die SIE Prüfung nicht bestehen, bitte machen Sie keine Sorge, denn wir werden alle Ihre Einkaufsgebühren bedingungslos zurückgeben.

FINRA Securities Industry Essentials Exam (SIE) SIE Prüfungsfragen mit Lösungen (Q127-Q132):

127. Frage
Which of the following entities settles broker-to-broker equity, listed corporate and municipal bond, and unit investment trust (UIT) transactions in the U.S. equities markets?

A. Federal Reserve
B. National Securities Clearing Corporation (NSCC)
C. SEC
D. FINRA

Antwort: B

Begründung:
Step by Step Explanation:
* National Securities Clearing Corporation (NSCC): A subsidiary of the Depository Trust & Clearing Corporation (DTCC), the NSCC handles the clearance and settlement of broker-to-broker equity, corporate bond, municipal bond, and UIT transactions.
* Incorrect Options:
* A: The SEC oversees regulatory compliance but does not settle trades.
* B: FINRA is a self-regulatory organization, not a clearing entity.
* C: The Federal Reserve manages monetary policy and banking but is not involved in securities settlement.
References:
* DTCC Overview of NSCC: DTCC NSCC.

128. Frage
An investor wants to purchase additional mutual fund shares with income distributed by the fund. Which of the following fund options permits this?

A. Dividend reinvestment
B. Dollar cost averaging
C. Asset reallocation
D. Capital gains reinvestment

Antwort: A

Begründung:
Step by Step Explanation:
* Dividend Reinvestment Plans (DRIPs): These allow investors to automatically reinvest income distributed by the mutual fund to purchase additional shares.
* Dollar Cost Averaging: Refers to systematic investments over time, not directly tied to income distributions.
* Capital Gains Reinvestment: Involves reinvesting profits from the sale of fund holdings, which is distinct from dividend reinvestment.
FINRA Mutual Fund Features: FINRA Mutual Funds.

129. Frage
Which of the following types of stock refers to the maximum number of shares a corporation is legally permitted to issue, as specified in its articles of incorporation?

A. Issued stock
B. Authorized stock
C. Restricted stock
D. Treasury stock

Antwort: B

Begründung:
Authorized stock is the maximum number of shares a corporation is legally permitted to issue under its corporate charter (articles of incorporation). That is why choice D is correct. The authorized share count is established when the company is formed and can typically be changed later only through proper corporate procedures (often requiring board approval and shareholder approval, depending on jurisdiction and governing documents). The purpose is to define the company's legal capacity to issue shares for capital raising, compensation plans, acquisitions, and other corporate needs.
Choice A, issued stock, refers to shares that have actually been sold/issued by the corporation to shareholders.
Issued shares are always less than or equal to authorized shares. Choice B, treasury stock, refers to shares that were previously issued and outstanding but have been repurchased by the corporation and are held in the company's treasury; treasury shares are not outstanding and typically have no voting rights or dividend rights while held by the issuer. Choice C, restricted stock, refers to shares subject to resale restrictions (often associated with Rule 144 or insider/control stock concepts), not the legal maximum number of shares.
This question is a straightforward corporate equity definition commonly tested on the SIE because it links to shareholder rights, corporate actions, and capitalization structure. Candidates should clearly distinguish:
Authorized = legal limit the company may issue
Issued = shares the company has sold/issued
Outstanding = issued minus treasury (shares held by public)
Treasury = repurchased shares held by the issuer
Understanding these terms helps when analyzing corporate filings, dilution, and equity financing decisions.

130. Frage
Which of the following statements is true about a general obligation (GO) municipal bond?

A. It does not carry an attached legal opinion.
B. It is backed by the full faith and credit of the issuing jurisdiction.
C. It is payable solely from the revenues of the facility against which the bonds were issued.
D. It carries no exemption from federal or state income taxes.

Antwort: B

Begründung:
A general obligation (GO) municipal bond is backed by the full faith and credit of the issuing municipality or governmental unit, which is why choice C is correct. In practical terms, this means the issuer pledges its general taxing power and overall resources to meet debt service-interest and principal payments. GO bonds are typically supported by the issuer's ability to levy taxes (often property taxes, subject to legal limits), making their repayment source broader than that of revenue bonds.
Choice D describes a revenue bond, which is payable only from a specific revenue stream (e.g., tolls from a bridge, fees from a water/sewer system, or revenues from an airport). Revenue bonds do not rely on the issuer' s general taxing power; instead, bondholders depend on the project's or enterprise's revenues. That is a key GO vs. revenue distinction tested heavily on the SIE.
Choice A is incorrect because municipal securities customarily include a legal opinion addressing validity and tax status, especially for tax-exempt issues; the presence of a legal opinion is not something GO bonds uniquely lack. Choice B is incorrect because many municipal bonds, including many GO bonds, are federally tax-exempt on interest (and may also be state/local tax-exempt for in-state residents), though there are exceptions such as taxable munis and AMT considerations in certain cases. The question's best, universally correct feature of a GO bond is the backing by the issuing jurisdiction's full faith and credit.
This question aligns with SIE product knowledge of municipal securities, including repayment sources and how those sources affect credit considerations.

131. Frage
A registered representative (RR) intends to enter into an arrangement for compensation with an unaffiliated entity to participate in the sale of promissory notes to the general public. Which of the following statements is true?

A. This is a permissible arrangement, and the RR is only required to notify his firm.
B. The RR is not required to provide prior notice to his firm as promissory notes are not considered securities.
C. The RR must receive written approval from his firm prior to entering into this arrangement.
D. The RR is required to notify his firm regarding this arrangement if compensation received is directly related to transactions.

Antwort: C

Begründung:
Step by Step Explanation:
* Private Securities Transactions: Under FINRA Rule 3280, RRs must obtain written approval from their employing firm before participating in the sale of securities outside the firm.
* Promissory Notes: These are typically considered securities, requiring prior approval.
* Incorrect Options:
* A & C: Notification alone is insufficient; written approval is required.
* D: Promissory notes are generally treated as securities under federal law.
FINRA Rule 3280 (Private Securities Transactions): FINRA Rule 3280.

132. Frage
......

Sie können im Internet teilweise die Fragen und Antworten zur FINRA SIE Zertifizierungsprüfung von PrüfungFrage kostenlos als Probe herunterladen. Dann würden Sie finden, dass die Übungen von PrüfungFrage ist die umfassendesten und ganau was, was Sie wollen.

SIE Prüfungsinformationen: https://www.pruefungfrage.de/SIE-dumps-deutsch.html

Peter Evans Peter Evans

Biography

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