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Vce SIE Download, SIE Pass4sure Pass Guide

Vce SIE Download, SIE Pass4sure Pass Guide

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q119-Q124):

NEW QUESTION # 119
Which of the following products is redeemable at net asset value (NAV)?

  • A. Options contracts
  • B. Corporate stock
  • C. Open-end mutual funds
  • D. Municipal bonds

Answer: C

Explanation:
Open-end mutual funds are redeemable securities, meaning investors can sell their shares back to the fund at the NAV.
* D is correctbecause mutual funds allow redemption at NAV.
* A,B, andCare not redeemable securities.


NEW QUESTION # 120
If a company with a single outstanding bond issue chooses to extinguish this debt through refunding, which of the following actions will occur?

  • A. The company will retire one debt with the proceeds from another issue.
  • B. The company will buy back the bonds, at a discount, from the bondholders.
  • C. The company will establish a sinking fund for use in making regular open-market purchases of the bonds.
  • D. The company will issue stock to replace the bonds.

Answer: A

Explanation:
Refunding involves replacing existing debt with new debt, usually to take advantage of lower interest rates.
* B is correctbecause the company issues new bonds to pay off the existing debt.
* Ais incorrect as refunding involves issuing debt, not equity.
* Cis incorrect because the company is not obligated to buy back bonds at a discount.
* Dis incorrect because a sinking fund is used for gradual repayment, not refunding.


NEW QUESTION # 121
Which of the following statements best describes an American Depositary Receipt (ADR)?

  • A. ADRs trade like U.S. issues and are quoted in foreign currency.
  • B. ADRs represent shares of a foreign security held in foreign commercial banks.
  • C. ADRs represent shares of a U.S. security held in foreign commercial banks.
  • D. ADRs trade like U.S. issues and are quoted in U.S. dollars.

Answer: D

Explanation:
Step by Step Explanation:
* ADRs: Represent foreign securities but are issued in the U.S. and quoted in U.S. dollars, making them easier for American investors to trade.
* Incorrect Options:
* B: ADRs are quoted in U.S. dollars, not foreign currencies.
* C & D: ADRs represent foreign securities held by U.S. banks, not foreign banks.
References:
* SEC Bulletin on ADRs: SEC ADR Overview.


NEW QUESTION # 122
Which of the following security types is frequently offered to the public as part of a package or unit that also includes a fixed income obligation?

  • A. Warrants
  • B. Preferred stock
  • C. Options
  • D. Common stock

Answer: A

Explanation:
Step by Step Explanation:
* Warrants: Are often issued alongside fixed-income securities, such as bonds, to enhance their appeal to investors. Warrants give the holder the right to purchase company stock at a specific price in the future.
* Incorrect Options:
* Options: Not typically bundled with fixed-income securities.
* Common and Preferred Stock: Usually issued separately, not as part of a package with bonds.
References:
* SEC Guide on Warrants: SEC Warrants Information.


NEW QUESTION # 123
Which of the following is the primary risk of using asset allocation models without periodic rebalancing?

  • A. Overweighting
  • B. Inflation
  • C. Marketability
  • D. Interest rate risk

Answer: A

Explanation:
Step by Step Explanation:
* Rebalancing: Ensures that a portfolio remains aligned with its target allocation. Without rebalancing, outperforming assets can become overweighted, increasing exposure to specific risks.
* Incorrect Options:
* Inflation: Impacts purchasing power but isn't tied to rebalancing.
* Marketability: Refers to liquidity and isn't linked to allocation models.
* Interest Rate Risk: Relates to fixed-income investments and isn't directly addressed by allocation models.
References:
* SEC Investor Bulletin on Asset Allocation: SEC Asset Allocation.


NEW QUESTION # 124
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