最新的FINRA SIE免費考試真題

問題1

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

A. The underlying investments

B. The net asset value (NAV)

C. The expense ratio

D. When the customer is permitted to purchase

正確答案: C

說明：（僅 Fast2test 成員可見）

問題2

SIPC provides investor protection for its members' customers in which of the following situations?

A. Losses greater than 10% due to systemic market decline

B. Losses incurred on futures contracts due to fraud or negligence

C. Failure of a brokerage firm in the event of insolvency

D. Failure of a brokerage firm to meet customers' investment expectations

正確答案: C

說明：（僅 Fast2test 成員可見）

問題3

A bond with a par value of $1,000 that is backed by the taxing power of a local government is known as:

A. A general obligation (GO) bond

B. A Treasury bond

C. A revenue bond

D. A corporate bond

正確答案: A

說明：（僅 Fast2test 成員可見）

問題4

Which of the following statements is true regarding the difference in treatment between common stock and preferred stock?

A. Common stock and preferred stock are treated the same under a bankruptcy proceeding.

B. Common stock and preferred stock are treated the same when it comes to payment of dividends.

C. Common stock is a lower priority compared to preferred stock under a bankruptcy proceeding.

D. Common stock dividend payment is treated as a higher priority over that of preferred stock.

正確答案: C

說明：（僅 Fast2test 成員可見）

問題5

Which of the following responses best describes a short sale?

A. A sale of securities that results in a loss

B. A sale of securities that the investor had purchased in his cash account but had not yet paid for

C. A sale of securities that results in an unsecured debit balance in the investor's account

D. A sale of securities that the investor does not own

正確答案: D

說明：（僅 Fast2test 成員可見）

問題6

An investor generally purchases an open-end mutual fund from which of the following parties?

A. The fund's custodian

B. An existing shareholder

C. The fund's underwriter

D. The NYSE

正確答案: C

說明：（僅 Fast2test 成員可見）

問題7

Which of the following statements best describes the permissibility of a borrowing arrangement between a registered representative (RR) and a customer who is also the RR's grandfather?

A. It is permissible if the grandfather agrees in writing.

B. It is permissible provided that the loan was made in accordance with the firm's policies.

C. It is permissible subject to FINRA approval.

D. It is permissible if the loan was made on commercially reasonable terms.

正確答案: B

說明：（僅 Fast2test 成員可見）

問題8

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 additional investment qualifies for a $100,000 breakpoint.

B. The customer must sign a new letter of intent to receive the $100,000 breakpoint on the additional purchase.

C. Each fund requires contributions of $100,000 to qualify for a breakpoint.

D. The customer will receive a sales charge discount on his next purchase after the account balance of the fund reaches $100,000.

正確答案: A

說明：（僅 Fast2test 成員可見）

問題9

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

A. A limited liability company (LLC)

B. A real estate investment trust (REIT)

C. An S corporation

D. A C corporation

正確答案: D

說明：（僅 Fast2test 成員可見）

問題10

Which of the following products is redeemable at net asset value (NAV)?

A. Municipal bonds

B. Corporate stock

C. Options contracts

D. Open-end mutual funds

正確答案: D

說明：（僅 Fast2test 成員可見）

最新的FINRA Securities Industry Essentials Exam (SIE) - SIE免費考試真題

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