SIE인기덤프공부최신인기시험기출문제자료
Fast2test는FINRA SIE인증시험을 아주 쉽게 패스할 수 있도록 도와드리는 사이트입니다. Fast2test의 엘리트한 전문가가 끈임 없는 노력으로 최고의FINRA SIE자료를 만들었습니다. 이 자료로 여러분은 100%FINRA의SIE인증시험을 패스할 수 있으며, Fast2test을 선택함으로 성공을 선택한 것입니다. Fast2test가 제공하는 시험가이드로 효과적인 학습으로 많은 분들이 모두 인증시험을 패스하였습니다. 이건 모두 Fast2test 인증시험덤프로 공부하였기 때문입니다. 그 중FINRA SIE인증시험을 패스한 분들도 모두 Fast2test인증시험덤프를 사용하였기 때문입니다.
Fast2test는 여러분의 꿈을 이루어줄 뿐만 아니라 일년무료 업뎃서비스도 따릅니다. Fast2test에서 제공하는 덤프로 여러분은 1000%시험을 패스하실수 있고FINRA SIE자격증을 취득하실 수 있습니다.지금 바로 사이트에서FINRA SIE덤프데모 즉 덤프의 일부 문제와 답을 다운 받으셔서 체험하실 수 있습니다.
높은 통과율 SIE인기덤프공부 덤프는 시험패스의 가장좋은 공부자료
FINRA SIE인증시험패스에는 많은 방법이 있습니다. 먼저 많은 시간을 투자하고 신경을 써서 전문적으로 과련 지식을 터득한다거나; 아니면 적은 시간투자와 적은 돈을 들여 Fast2test의 인증시험덤프를 구매하는 방법 등이 있습니다.
FINRA SIE 시험요강:
주제
소개
주제 1
주제 2
주제 3
최신 General Securities Representative SIE 무료샘플문제 (Q91-Q96):
질문 # 91
Which of the following types of accounts permits an investor to borrow money from a broker-dealer to help pay for a trade?
정답：A
설명：
Step by Step Explanation:
* Margin Accounts: Allow investors to borrow funds to purchase securities, with the securities serving as collateral for the loan.
* Cash Accounts: Require full payment for securities purchased.
* IRAs: Do not permit borrowing due to their tax-advantaged status.
* DVP/RVP: Settlement mechanisms, not account types for borrowing.
References:
* FINRA Rule 4210 (Margin Requirements): FINRA Rule 4210.
질문 # 92
A registered representative (RR) intends to enter into an arrangement for compensation with an unaffiliated entity to participate in the sale of promissory notes to the general public. Which of the following statements is true?
정답：D
설명：
Step by Step Explanation:
* Private Securities Transactions: Under FINRA Rule 3280, RRs must obtain written approval from their employing firm before participating in the sale of securities outside the firm.
* Promissory Notes: These are typically considered securities, requiring prior approval.
* Incorrect Options:
* A & C: Notification alone is insufficient; written approval is required.
* D: Promissory notes are generally treated as securities under federal law.
References:
* FINRA Rule 3280 (Private Securities Transactions): FINRA Rule 3280.
질문 # 93
A market maker quotes the market on an NMS equity security as 39.05 - 39.15 [5x10]. Which of the following orders is the market maker required to fill?
정답：D
설명：
The quote indicates that the market maker is willing to buy 500 shares at $39.05 (bid) and sell 1,000 shares at
$39.15 (ask). Market makers are required to honor their quoted size for orders that fall within their bid/ask prices.
* D is correctbecause the market maker is obligated to sell at least 1,000 shares at $39.15 as it falls within the quoted size and price.
* Bis incorrect because the bid is at $39.05, not $39.00.
* Cis incorrect because $39.10 does not match the ask price.
* Ais invalid as a stop order would not activate at $39.00.
질문 # 94
Which of the following responses best describes how member firms are required to retain electronic correspondence and internal communications of associated persons?
정답：C
설명：
FINRA Rule 4511 requires member firms to retain records, including electronic communications, in anon- rewriteable, non-erasable format(often referred to as WORM: Write Once, Read Many). This ensures that records cannot be altered or deleted once stored.
* D is correctbecause firms must store records in a tamper-proof format.
* A,B, andCare incorrect because these formats do not guarantee compliance with the tamper-proof requirements set forth by FINRA and the SEC.
질문 # 95
Shares in a private investment in public equity (PIPE) offering are priced:
정답：A
설명：
Step by Step Explanation:
* PIPE Offerings: Typically priced below the current market value to incentivize institutional investors to participate in these transactions.
* Discount: The discounted price compensates for the potential illiquidity and risk associated with PIPE offerings.
* POP/Market Value: These do not apply to private offerings structured as PIPE transactions.
References:
* SEC PIPE Offering Guidance: SEC PIPE Offerings.
질문 # 96
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