FINRA SIE TRUSTWORTHY PRACTICE, SIE GUARANTEED QUESTIONS ANSWERS

FINRA SIE Trustworthy Practice, SIE Guaranteed Questions Answers

FINRA SIE Trustworthy Practice, SIE Guaranteed Questions Answers

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Tags: SIE Trustworthy Practice, SIE Guaranteed Questions Answers, Test SIE Pattern, SIE Exam Introduction, SIE Online Tests

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q154-Q159):

NEW QUESTION # 154
Offering 403(b) tax-sheltered annuity accounts to which of the following groups is permissible?

  • A. Small business owners
  • B. Volunteer workers
  • C. Employees of a nonprofit hospital
  • D. Active duty military personnel

Answer: C

Explanation:
Step by Step Explanation:
* 403(b) Accounts: These tax-advantaged retirement plans are specifically for employees of public schools, tax-exempt organizations, and certain other nonprofit employers, such as hospitals.
* Incorrect Options:
* Volunteer Workers: Ineligible unless they are also employees.
* Small Business Owners and Military Personnel: These groups typically qualify for other retirement plans, not 403(b).
References:
* IRS Publication 571 (403(b) Plans): IRS 403(b) Guidance.


NEW QUESTION # 155
A city has appointed Broker-dealer XYZ to act as lead underwriter for its upcoming issuance of municipal bonds. This is an example of which of the following types of offering?

  • A. A follow-on offering
  • B. A negotiated offering
  • C. A best-efforts offering
  • D. A competitive offering

Answer: B

Explanation:
Step by Step Explanation:
* Negotiated Offering: Occurs when the issuer directly selects an underwriter and negotiates terms.
Common in municipal bond issuances.
* Incorrect Options:
* A: Follow-on offerings apply to subsequent issuances of equity securities.
* C: Competitive offerings involve multiple underwriters submitting bids.
* D: Best-efforts offerings do not guarantee the sale of all securities.
References:
* MSRB Overview of Municipal Offerings: MSRB Offerings.


NEW QUESTION # 156
When are registered persons required to fulfill their Continuing Education (CE) Regulatory Element requirement?

  • A. Semiannually
  • B. After the initial three-year requirement and then every two years
  • C. Upon the receipt of a customer complaint
  • D. Annually

Answer: B

Explanation:
FINRA's Continuing Education (CE) requirements include the Regulatory Element, which must be completed:
* Within 120 days of the second anniversary of a registered representative's initialregistration.
* Every three years thereafter (changed to every two years as of 2023).
* C is correctbecause registered persons must complete the CE Regulatory Element after their initial requirement and then every two years.
* AandBare incorrect because CE is not required annually or semiannually.
* Dis incorrect because CE is not tied to customer complaints.


NEW QUESTION # 157
Which of the following statements concerning nonqualified deferred compensation plans is true?

  • A. The deferred compensation must be held in escrow at a bank.
  • B. Such plans must be reviewed with the IRS.
  • C. They are governed by ERISA rules.
  • D. A failure of the business could lead to nonpayment of the deferred compensation.

Answer: D

Explanation:
Nonqualified deferred compensation (NQDC) plans allow employees to defer income until a future date.
* D is correctbecause NQDC funds remain part of the company's general assets, which creditors may claim if the company goes bankrupt.
* Ais incorrect as NQDC plans are not subject to ERISA rules.
* Bis incorrect because these plans do not require IRS review.
* Cis incorrect as NQDC assets are not required to be held in escrow.


NEW QUESTION # 158
What is the sales load of an open-end investment company with a net asset value (NAV) of $14.35 and a public offering price (POP) of $15.50?

  • A. 9.25%
  • B. 7.40%
  • C. 8.50%
  • D. 8.00%

Answer: C

Explanation:
The sales load is calculated as a percentage of the POP, using the formula:Sales load = (POP # NAV) ÷ POP
× 100
* POP = $15.50, NAV = $14.35.
* Sales load = ($15.50 # $14.35) ÷ $15.50 × 100 =8.50%.
* C is correctbecause the calculation results in an 8.50% load.
* A,B, andDare incorrect due to incorrect calculations.


NEW QUESTION # 159
......

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