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Free PDF 2025 Unparalleled FINRA SIE: Securities Industry Essentials Exam (SIE) Study Dumps

The excellent FINRA SIE practice exam from PassExamDumps can help you realize your goal of passing the FINRA SIE certification exam on your very first attempt. Most people find it difficult to find excellent FINRA SIE Exam Dumps that can help them prepare for the actual Securities Industry Essentials Exam (SIE) SIE exam.

FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 1	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.
Topic 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.
Topic 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.

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q137-Q142):

NEW QUESTION # 137
An investor who lives on a fixed income and is concerned about inflation is most exposed to which of the following risks?

A. Interest rate risk
B. Economic risk
C. Purchasing power risk
D. Market risk

Answer: C

Explanation:
Purchasing power risk, also known as inflation risk, occurs when inflation reduces the real value of a fixed- income stream. Fixed payments (e.g., bond interest or annuity payments) lose buying power as inflation rises.
* D is correctbecause inflation directly affects fixed income by eroding purchasing power.
* Ais incorrect because market risk relates to fluctuations in market prices, not inflation.
* Bis incorrect because economic risk generally refers to broader economic downturns.
* Cis incorrect because interest rate risk involves changes in bond prices due to interest rate movements, not inflation.

NEW QUESTION # 138
An investor generally purchases an open-end mutual fund from which of the following parties?

A. The fund's underwriter
B. The NYSE
C. The fund's custodian
D. An existing shareholder

Answer: A

Explanation:
Step by Step Explanation:
* Open-End Mutual Funds: Shares are purchased directly from the fund or its underwriter at the current Net Asset Value (NAV), plus any applicable sales charges.
* Custodian: Holds the fund's assets but does not sell shares.
* NYSE and Shareholders: Open-end funds do not trade on exchanges or between individual shareholders.
References:
* SEC Mutual Fund Basics: SEC Mutual Funds.

NEW QUESTION # 139
Which of the following responses describes a common feature of a hedge fund?

A. Low minimum investment requirement
B. Transparent as to the underlying investments and strategies
C. Low liquidity for investors
D. Primarily focused on fixed income investments

Answer: C

Explanation:
Step by Step Explanation:
* Low Liquidity: Hedge funds often impose lock-up periods and restrict redemptions, leading to low liquidity for investors.
* Incorrect Options:
* B: Hedge funds typically have high minimum investment requirements, often $1 million or more.
* C: Hedge funds employ diverse strategies, not just fixed income.
* D: Hedge funds are generally opaque about their strategies and holdings to protect their competitive advantage.
References:
* SEC Investor Bulletin on Hedge Funds: SEC Hedge Funds.

NEW QUESTION # 140
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?

A. A buy order for 1,000 shares at $39.10
B. A sell order for 300 shares at $39.05
C. A sell stop order for 500 shares at $39.00
D. A buy order for 2,000 shares at $39.15

Answer: D

NEW QUESTION # 141
A customer receives a confirmation that discloses the firm has acted in a principal capacity. Which of the following statements is the best explanation for this disclosure?

A. The firm matched the customer's purchase with a sell order listed on an electronic communication network (ECN).
B. The firm is acting as an intermediary between the customer and an unrelated firm.
C. The firm is selling to the customer from its inventory.
D. The firm is acting as an intermediary between the customer and another customer.

Answer: C

Explanation:
When a firm acts in a principal capacity, it trades securities for its own account, buying or selling directly to or from its inventory. The firm's role differs from an agency capacity, where it acts as an intermediary.
* A is correctbecause principal capacity involves selling directly from the firm's inventory.
* B,C, andDare incorrect because these scenarios describe agency transactions, where the firm facilitates trades between two parties.

NEW QUESTION # 142
......

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PassExamDumps FINRA SIE Exam Questions Preparation Material is Available

Free PDF 2025 Unparalleled FINRA SIE: Securities Industry Essentials Exam (SIE) Study Dumps

FINRA SIE Exam Syllabus Topics:

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q137-Q142):