WINDOWS-BASED FINRA SIE PRACTICE EXAM SOFTWARE

Windows-based FINRA SIE Practice Exam Software

Windows-based FINRA SIE Practice Exam Software

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q135-Q140):

NEW QUESTION # 135
A Treasury bill is issued under which of the following terms?

  • A. At par plus interest
  • B. At a stated rate of interest
  • C. At par
  • D. At a discount

Answer: D

Explanation:
Treasury bills (T-bills) are short-term debt securities issued at a discount to par value. The difference between the purchase price and the par value represents the investor's interest income, which is realized when the T- bill matures.
* C is correctbecause T-bills are issued at a discount and mature at par.
* Ais incorrect because T-bills are not sold at par value.
* BandDare incorrect because T-bills do not pay periodic interest; the return is based on the discount.


NEW QUESTION # 136
Which of the following account registration types is subject to probate upon the death of the account owner?

  • A. Individual
  • B. Transfer-on-death (TOD)
  • C. Joint tenants with right of survivorship (JTWROS)
  • D. Irrevocable trust

Answer: A

Explanation:
Accounts held individually are subject to probate, which is the legal process of administering the decedent's estate. Probate determines the distribution of assets according to the deceased's will or state intestacy laws.
* A is correctbecause individual accounts require probate to transfer assets.
* Bis incorrect because irrevocable trusts bypass probate.
* Cis incorrect because TOD accounts allow direct transfer of assets to named beneficiarieswithout probate.
* Dis incorrect because JTWROS accounts transfer ownership to the surviving account holder automatically.


NEW QUESTION # 137
A registered representative (RR) owns 500 shares of a thinly traded security. A customer of the firm calls the RR to place a sell order for 10,000 shares of the same security. The RR sells his shares before entering the customer's order to sell. Which of the following activities has the RR just engaged in?

  • A. Front running
  • B. Selling away
  • C. Market manipulation
  • D. Insider trading

Answer: A

Explanation:
Step by Step Explanation:
* Front Running Definition: Occurs when a broker executes a personal trade ahead of a customer's order to profit from the anticipated market movement.
* Thinly Traded Security: Front running is particularly impactful in low-liquidity securities.
* Other Options:
* Selling Away: Involves unapproved securities transactions outside the employing firm.
* Insider Trading: Involves trading on material non-public information.
* Market Manipulation: Encompasses activities like wash trading or spoofing, not specific to this scenario.
References:
* FINRA Rule 5270 (Front Running of Block Transactions): FINRA Rule 5270.


NEW QUESTION # 138
Class A and Class C shares of a mutual fund differ in which of the following ways?

  • A. The underlying investments
  • B. When the customer is permitted to purchase
  • C. The expense ratio
  • D. The net asset value (NAV)

Answer: C

Explanation:
Step by Step Explanation:
* Expense Ratio: Class A shares typically have lower ongoing expense ratios but higher front-end sales charges. Class C shares often have higher ongoing expense ratios but no front-end charges.
* Incorrect Options:
* B: NAV is determined daily and does not vary by share class.
* C: All share classes invest in the same underlying portfolio.
* D: Purchase timing is the same for all share classes.
References:
* SEC Guidance on Mutual Fund Share Classes: SEC Fund Classes.


NEW QUESTION # 139
The cash value of a variable life insurance policy is affected by which of the following factors?

  • A. Changes in the death benefit
  • B. Contingent deferred sales charges
  • C. Fluctuating market conditions
  • D. Changes in the beneficiary

Answer: C

Explanation:
Step by Step Explanation:
* Variable Life Insurance: The cash value depends on the performance of the underlying investment options.
* Fluctuating Market Conditions: Since the cash value is linked to market performance, fluctuations directly impact its value.
* Beneficiary/Death Benefit Changes: These do not directly impact the cash value unless they involve additional costs or changes to premiums.
References:
* SEC Bulletin on Variable Life Insurance: SEC Variable Insurance.


NEW QUESTION # 140
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