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SIE Exam Dumps Free - SIE Exam Format

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q321-Q326):

NEW QUESTION # 321
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. Purchasing power risk
C. Economic risk
D. Market risk

Answer: B

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 correct because inflation directly affects fixed income by eroding purchasing power.
* A is incorrect because market risk relates to fluctuations in market prices, not inflation.
* B is incorrect because economic risk generally refers to broader economic downturns.
* C is incorrect because interest rate risk involves changes in bond prices due to interest rate movements, not inflation.
Reference: SIE Study Guide, Chapter 3: Risks of Fixed-Income Investments

NEW QUESTION # 322
A privacy policy opt-out direction provided by a customer is valid:

A. until the account is closed.
B. as long as the account has a balance.
C. until the customer rescinds direction.
D. for one year.

Answer: C

Explanation:
The correct answer is D, until the customer rescinds direction. This question relates to privacy rules under Regulation S-P, which governs how financial institutions handle customers' nonpublic personal information.
When a customer exercises their right to opt out of having their personal information shared with nonaffiliated third parties, that decision remains in effect indefinitely. The firm must honor the customer's opt-out instruction continuously, unless the customer later chooses to revoke or rescind that direction.
Choice A (for one year) is incorrect because there is no expiration period for an opt-out election. Once made, it does not need to be renewed annually. Choice B (as long as the account has a balance) and C (until the account is closed) are also incorrect because the opt-out applies regardless of account status and may even extend beyond account closure in certain recordkeeping contexts.
Regulation S-P ensures customers maintain control over their personal financial information, and firms are required to provide privacy notices and allow customers the ability to opt out at any time.
Thus, the opt-out direction remains valid until the customer changes their mind, making choice D correct.

NEW QUESTION # 323
Which of the following statements best describes an American Depositary Receipt (ADR)?

A. ADRs represent shares of a U.S. security held in foreign commercial banks.
B. ADRs trade like U.S. issues and are quoted in foreign currency.
C. ADRs represent shares of a foreign security held in foreign commercial banks.
D. ADRs trade like U.S. issues and are quoted in U.S. dollars.

Answer: D

Explanation:
Step by Step Explanation:
* ADRs: Represent foreign securities but are issued in the U.S. and quoted in U.S. dollars, making them easier for American investors to trade.
* Incorrect Options:
* B: ADRs are quoted in U.S. dollars, not foreign currencies.
* C & D: ADRs represent foreign securities held by U.S. banks, not foreign banks.
SEC Bulletin on ADRs: SEC ADR Overview.

NEW QUESTION # 324
Shares in a private investment in public equity (PIPE) offering are priced:

A. Below the current market value per share.
B. Above the current market value per share.
C. At the current market value per share.
D. At the public offering price (POP) as determined by the underwriters.

Answer: A

Explanation:
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.

NEW QUESTION # 325
Which of the following types of accounts permits an investor to borrow money from a broker-dealer to help pay for a trade?

A. Margin
B. Delivery versus payment (DVP) / receive versus payment (RVP)
C. An individual retirement account (IRA)
D. Cash

Answer: A

Explanation:
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.
:
FINRA Rule 4210 (Margin Requirements): FINRA Rule 4210.

NEW QUESTION # 326
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