SIE試験無料問題集（412題）「FINRA Securities Industry Essentials Exam (SIE) 認定」

出題：1

A market maker displays the following ABC stock quote: 25.05 - 25.15 (7x5J.
Based upon the quote displayed, the market maker sells all the available shares of a 1,200-share market order to buy ABC stock. How many shares must be sold at the price of $25.15?

A. 700

B. 1200

C. 200

D. 500

正解：D 解答を投票する

出題：2

Under MSRB rules, which of the following information is a municipal securities dealer required to provide annually in writing to each of its customers?

A. Contact information for the dealer ' s chief compliance officer

B. The dealer ' s year-end income statement

C. A statement that the dealer is registered with the MSRB

D. The number of customer complaints that the dealer received in the last year

正解：C 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：3

A bond has a current market price of $1,000 and pays $25 every six months. What is the current yield of the bond?

A. 4.0%

B. 5.0%

C. 6.0%

D. 2.5%

正解：B 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：4

A customer deposits an $8,000 cashier ' s check in their account. Later the same day, they deposit a $2,500 money order. Which of the following actions, if any, must the firm take in response to this activity?

A. File a Currency Transaction Report (CTR)

B. File Form W-9 with the IRS

C. No filing required

D. File a Suspicious Activity Report (SAR)

正解：C 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：5

According to FINRA rules, under which of the following circumstances, if any, is a member firm permitted to send gifts to a registered representative of another member firm?

A. Under no circumstances

B. When no single gift exceeds $100 in value and the maximum value of all gifts per year equals $250

C. When no single gift exceeds $100 and there is no limit on the number of gifts

D. When the value of all gifts during a period of one year does not exceed $100

正解：D 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：6

Corporate bonds are most impacted by which of the following types of risk?

A. Credit risk

B. Currency risk

C. Political risk

D. Liquidity risk

正解：A 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：7

Which of the following features is characteristic of common stock?

A. Has greater priority than preferred stock in the event of corporate liquidation

B. Has fixed dividend payments

C. Has greater priority than bonds in the event of corporate liquidation

D. Represents ownership in a corporation

正解：D 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：8

Which of the following responses describes a new offering of securities that is exempt from registration under SEC Regulation D?

A. An offering to no more than 35 nonaccredited investors

B. An offering in which purchasers are permitted to sell the securities without restrictions

C. An offering made only to existing shareholders

D. An offering of more than $10 million

正解：A 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：9

Which of the following conditions typically has a negative effect on the value of an equity real estate investment trust (REIT)?

A. Overbuilding

B. Low mortgage rates

C. An increase in property values

D. An increase in occupancy rates

正解：A 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：10

Beta coefficient is a measure of:

A. Only the upside participation of an individual stock.

B. The liquidity of an individual stock relative to the sector average.

C. The volatility of an individual stock relative to the broad stock market.

D. The volatility of the broad stock market.

正解：C 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：11

Which of the following is not a pass-through entity for tax purposes?

A. A real estate investment trust (REIT)

B. An S corporation

C. A C corporation

D. A limited liability company (LLC)

正解：C 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：12

Which of the following statements is true regarding 529 plans?

A. Distributions are exempt from federal income tax after age 65.

B. Qualified distributions are federal tax-free.

C. They are permitted to be rolled into a traditional individual retirement account.

D. They are permitted to be used tax-free for medical emergencies.

正解：B 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：13

Which of the following customers Is eligible to open an institutional account at a broker-dealer?

A. An investment club with pooled assets totaling $1 million

B. corporation with assets totaling $25 million

C. An Insurance company with assets of $45 million

D. limited liability partnership with assets of $20 million

正解：C 解答を投票する

SIE試験無料問題集「FINRA Securities Industry Essentials Exam (SIE) 認定」