FINRA SIE자격증공부 - SIE높은통과율덤프자료

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FINRA SIE 시험요강:

주제소개
주제 1
  • Understanding Products and Their Risks: This section of the exam measures the skills of Investment Analysts and examines different financial products and associated risks. Candidates must understand equity securities, including common stock, as well as debt instruments such as Treasury securities and mortgage-backed securities.
주제 2
  • Understanding Trading, Customer Accounts, and Prohibited Activities: This section of the exam measures the skills of Securities Traders and focuses on different trading strategies, settlement processes, and corporate actions. Candidates must demonstrate knowledge of order types, including market, limit, stop, and good-til-canceled orders, as well as bid-ask spreads and discretionary versus non-discretionary trading.
주제 3
  • Regulatory Entities, Agencies, and Market Participants: This section of the exam measures the skills of Financial Regulatory Analysts and covers the structure, authority, and jurisdiction of key regulatory bodies overseeing financial markets. The SEC's role in enforcing securities regulations is assessed, along with the authority of self-regulatory organizations such as FINRA and MSRB. Candidates must also understand the functions of other financial regulators, including the Department of the Treasury and state regulatory agencies. One key skill evaluated is identifying the jurisdictional scope of different financial regulators.
주제 4
  • Employee Conduct and Reportable Events: This section of the exam measures the skills of Financial Compliance Specialists and covers regulatory expectations regarding employee conduct and disclosure requirements. Candidates must be familiar with Form U4 and Form U5, as well as reporting obligations for outside business activities and political contributions.

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최신 General Securities Representative SIE 무료샘플문제 (Q390-Q395):

질문 # 390
Which of the following events requires reporting on a Form U4?

정답：D

설명：
Form U4 (Uniform Application for Securities Industry Registration or Transfer) requires disclosure of any felony convictions, regardless of whether they are securities-related. A felony conviction for drunk driving falls under this requirement.
* B is correctbecause a felony conviction must be reported on Form U4.
* Ais incorrect as misdemeanor speeding tickets do not require disclosure unless they involve fraud, theft, or dishonesty.
* Cis incorrect as bench warrants are not reportable unless they lead to a conviction.
* Dis incorrect because gross misdemeanors (except those involving fraud or dishonesty) do not require reporting.


질문 # 391
Under SEC Regulation D, which of the following parties is considered an accredited investor?

정답：B

설명：
Step by Step Explanation:
* Definition of Accredited Investor: As per SEC Regulation D, Rule 501, an accredited investor includes:
* Individuals with a net worth exceeding $1 million (excluding primary residence equity).
* Individuals with an annual income exceeding $200,000 (or $300,000 jointly with a spouse) for the past two years.
* Elimination of Incorrect Answers:
* $500,000 threshold (option B) is too low to qualify under Regulation D.
* Option D is incorrect as it requires assets of $5 million, not $2.5 million.
:
SEC Regulation D, Rule 501 (Accredited Investor Definition): SEC Regulation D.


질문 # 392
A customer has a stock position that has increased in value since the time he purchased it. Which of the following terms describes his current situation?

정답：A

설명：
An unrealized gain occurs when the value of an asset increases but has not yet been sold. If the customer sells the stock, the unrealized gain becomes a realized gain.
* B is correct because the increase in value without selling the stock is an unrealized gain.
* A is incorrect because interest income refers to earnings from fixed-income securities.
* C is incorrect because operating profit relates to a company's earnings, not an investor's portfolio.
* D is incorrect because "out of the money" is a term used for options, not stocks.
Reference: SIE Study Guide, Chapter 6: Stock Valuations


질문 # 393
An investor is bullish on a particular stock for the long run, but he would prefer a better price than the stock's current quote. Which of the following trades should the investor enter for this stock?

정답：A

설명：
A limit order to buy allows the investor to specify the maximum price he is willing to pay for the stock. The order will only execute if the stock price falls to or below the specified price.
* B is correctbecause a limit order to buy aligns with the investor's desire to secure a better price.
* Ais incorrect because a limit order to sell is used when an investor wants to sell at a minimum price.
* CandDare incorrect because market orders execute at the current market price, not at a preferred price.


질문 # 394
Which of the following types of investment companies typically have surrender fees?

정답：C

설명：
Variable annuities typically include surrender charges (surrender fees), especially during the early years of the contract. A surrender charge is a fee assessed if the owner withdraws funds above permitted free-withdrawal amounts or terminates the contract during a specified surrender period. This feature is common because variable annuities are insurance products that often involve significant distribution costs, and insurers structure surrender schedules to recoup those costs if the investor exits early. On the SIE, variable annuities are treated as packaged products/variable contracts with unique fee structures, including surrender charges and separate account expenses.
By contrast, no-load mutual funds are designed specifically to have no sales charge (no front-end load and typically no deferred sales charge), though they may still have operating expenses in the expense ratio. UITs may involve sales charges at purchase, and they have a fixed portfolio that does not actively trade; they are not commonly characterized by surrender fees in the way variable annuities are. ETFs trade intraday on an exchange like stocks, and investors generally pay brokerage commissions and incur bid-ask spreads (and internal fund expenses), but ETFs do not impose surrender fees as an inherent product feature for secondary- market trades.
The concept being tested is recognition of product-specific fees. Variable annuities commonly include multiple layers of cost: mortality and expense (M&E) charges, administrative fees, underlying subaccount expenses, and surrender charges. Surrender charges are a key distinguishing characteristic and a frequent exam point because they affect liquidity and time horizon suitability.


질문 # 395
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