VCE SIE FILE | EXAM SIE QUIZZES

Vce SIE File | Exam SIE Quizzes

Vce SIE File | Exam SIE Quizzes

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Tags: Vce SIE File, Exam SIE Quizzes, SIE Valid Exam Preparation, SIE New Braindumps, New SIE Test Prep

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Unparalleled Vce SIE File & Leader in Qualification Exams & Perfect SIE: Securities Industry Essentials Exam (SIE)

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q77-Q82):

NEW QUESTION # 77
The civil penalty for an individual who is convicted of an insider trading violation is permitted to be an amount up to how many times the profit gained or loss avoided?

  • A. 1 time
  • B. 3 times
  • C. 10 times
  • D. 6 times

Answer: B

Explanation:
Under the Insider Trading and Securities Fraud Enforcement Act of 1988, the SEC may impose acivil penalty of up to three timesthe profit gained or loss avoided (referred to as "treble damages") on individuals found guilty of insider trading.
* B is correctbecause treble damages equal three times the profit or avoided loss.
* Ais incorrect because the penalty is not limited to one time the profit.
* CandDare incorrect because the penalty is capped at three times, not six or ten times.


NEW QUESTION # 78
For which of the following account types will the partial ownership pass into an estate account upon the death of one of the individuals listed on the account?

  • A. Tenants in common
  • B. Partnership
  • C. Trust corporation
  • D. Joint tenants with right of survivorship (JTWROS)

Answer: A

Explanation:
In atenants in commonaccount, each owner has a distinct percentage of ownership. Upon the death of one owner, their share does not transfer to the surviving owner(s); instead, it becomes part of the deceased's estate.
* C is correctbecause ownership is divided, and the deceased's share passes to their estate.
* Ais incorrect because partnerships have different agreements governing ownership transitions.
* Bis incorrect because trust corporations are governed by trust agreements, not estate processes.
* Dis incorrect because JTWROS accounts pass ownership directly to the surviving account holder(s).


NEW QUESTION # 79
When is it permissible to exercise European-style options contracts?

  • A. Only on the third Friday of every month
  • B. Only on the day after expiration
  • C. Only on the day of expiration
  • D. Only on the last business day before expiration

Answer: C

Explanation:
Step by Step Explanation:
* European-Style Options: Can only be exercised on their expiration date, unlike American-style options, which can be exercised any time before expiration.
* Incorrect Options:
* A: Not accurate; the exercise must occur specifically on the expiration date.
* C: Options cannot be exercised after expiration.
* D: The expiration date depends on the option contract, not a specific weekday.
References:
* Options Clearing Corporation (OCC) Guidelines: OCC European Options.


NEW QUESTION # 80
Which of the following statements characterizes the typical relationship between the market value of a municipal bond portfolio and interest rates?

  • A. As interest rates increase, the market value goes up.
  • B. As the market value goes down, interest rates decrease.
  • C. As the market value goes up, interest rates stay constant.
  • D. As interest rates decrease, the market value goes up.

Answer: D

Explanation:
Step by Step Explanation:
* Inverse Relationship: Bond prices and interest rates have an inverse relationship. When interest rates fall, existing bonds with higher coupon rates become more valuable, leading to an increase in market value.
* Incorrect Options:
* A: Market value decreases as interest rates increase.
* C: Interest rates and bond values move inversely, not in the same direction.
* D: Interest rates are not constant; they fluctuate over time.
References:
* SEC Municipal Bonds Overview: SEC Municipal Bonds.


NEW QUESTION # 81
A grandfather establishes a Uniform Transfers to Minors Act (UTMA) custodial account for his grandson and appoints an attorney as custodian. Which of the following individuals owns the account?

  • A. Grandson
  • B. Grandfather
  • C. Attorney
  • D. Grandson's parent

Answer: A

Explanation:
In a UTMA account, the minor is the legal owner of the account. The custodian (in this case, the attorney) manages the account until the minor reaches the age of majority specified by state law.
* C is correctbecause the grandson (the minor) is the account's legal owner.
* Ais incorrect because the attorney is the custodian, not the owner.
* Bis incorrect because the grandfather established the account but does not own it.
* Dis incorrect because the parent does not have ownership unless explicitly named as the custodian.


NEW QUESTION # 82
......

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