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

質問 1

Pursuant to the Securities Act of 1933, registration is required for which of the following securities?

（A）U.S. government issues

（B）Open-end investment companies

（C）Municipal securities

（D）Private placements

正解：B 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 2

Which of the following terms describes an offer to purchase some or all shareholders' shares in a corporation, usually at a premium to the market price?

（A）Stock split

（B）Redemption

（C）Class action

（D）Tender

正解：D 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 3

Which of the following statements is true of the writer of a listed equity call option?

（A）They have the obligation to buy stock at a fixed strike price.

（B）They have the right to buy stock at a fixed strike price.

（C）They have the obligation to sell stock at a fixed strike price.

（D）They have the right to sell stock at a fixed strike price.

正解：C 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 4

Which of the following types of securities is an equity?

（A）Certificate of deposit (CD)

（B）Preferred stock

（C）Commercial paper

（D）Exchange-traded note (ETN)

正解：B 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 5

Which of the following statements is true of an index exchange-traded fund (ETF)?

（A）Passive ETFs will typically have lower fees than those associated with actively managed ETFs.

（B）It is priced once daily, generally at the market close.

（C）It has a high portfolio turnover ratio.

（D）It offers an opportunity to outperform the index it tracks.

正解：A 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 6

A registered representative (RR) opens a new account for a customer whose investment objectives are growth and income. She makes an initial deposit of $5,500 using a series of money orders drawn from different sources, and she makes no investments for the first 30 days the account is open. At the end of that time, the customer asks to have the funds wired to an account at a different firm as her needs have changed. The RR's first course of action should be to:

（A）Report internally as a suspicious activity.

（B）Accept the instructions and wire the funds.

（C）Deny the request.

（D）Freeze the account.

正解：A 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 7

A customer purchases 100 shares of stock. The customer fears a decline in the share price and would like to protect his investment and minimize loss. Which of the following strategies should the customer employ to lock in his profit?

（A）Purchase a call

（B）Purchase a put

（C）Sell a put

（D）Sell a call

正解：B 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 8

How long are unused funds permitted to remain in a Coverdell education savings account?

（A）All funds must be distributed when the beneficiary's age reaches 21 years old.

（B）There is no age limit preventing funds from remaining in a beneficiary's account.

（C）All funds must be distributed when the beneficiary's age reaches 30 years old.

（D）All funds must be distributed when the beneficiary's age reaches 59 ½ years old.

正解：C 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 9

Which of the following activities engaged in by a registered person is considered a private securities transaction?

（A）Investing personal money in shares of a listed security in a brokerage account

（B）Working for an insurance company selling term life insurance policies

（C）Soliciting donations to a charity

（D）Helping a friend raise money for a startup company they founded

正解：D 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 10

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）8.00%

（B）7.40%

（C）9.25%

（D）8.50%

正解：D 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

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

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