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

（A）ETF expense ratios are generally lower than those of mutual funds.

（B）ETFs are offered with front-end or back-end loads.

（C）ETFs are purchased and sold daily at net asset value (NAV).

（D）ETFs are not permitted to be purchased on margin.

（A）A secondary offering

（B）An exempt offering

（C）A rights offering

（D）A private offering

（A）Customer's name

（B）Customer's net worth

（C）Customer's address

（D）Customer's telephone number

（A）Transparent as to the underlying investments and strategies

（B）Low liquidity for investors

（C）Low minimum investment requirement

（D）Primarily focused on fixed income investments

（A）It is also called a profit and loss statement.

（B）It lists a company's assets, liabilities, and net worth on the date the statement was prepared.

（C）It summarizes a company's revenues and expenses for the firm's fiscal year.

（D）It reports where a corporation's cash is being generated and where its cash is being spent for a specific period.

（A）The RR should call FINRA's Securities Helpline for Seniors before the customer does and explain their side of the story.

（B）The RR should notify their supervisor about the customer's dissatisfaction.

（C）The RR is permitted to reimburse the customer for the loss to resolve the customer's complaint.

（D）The RR should alert their compliance department to update their Form U4 with the complaint details.

（A）Selling a customer's securities when the customer has failed to pay for trades in a cash account

（B）Sharing customers' nonpublic personal information with nonaffiliated third parties

（C）Using securities that a customer has bought on margin as collateral to obtain a loan from a bank

（D）Entering trades in a customer's account without prior authorization from the customer

（A）10 business days

（B）3 business days

（C）5 business days

（D）15 business days

（A）Report internally as a suspicious activity.

（B）Accept the instructions and wire the funds.

（C）Deny the request.

（D）Freeze the account.