Finra certshero free Access Sie New Release by Theia q16 vce pdf

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Exam Name:	Securities Industry Essentials Exam (SIE)
Exam Code:	SIE Dumps
Vendor:	FINRA	Certification:	General Securities Representative
Questions:	164 Q&A's	Shared By:	theia

Question 24

Which of the following products is the most appropriate class of investments for a customer looking for income and capital gains?

Options:

A growth stock

A money market account

A blue-chip stock mutual fund

Treasury Separate Trading of Registered Interest and Principal of Securities (STRIPS)

Discussion

Question 25

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

Options:

Cash

Margin

An individual retirement account (IRA)

Delivery versus payment (DVP) / receive versus payment (RVP)

Discussion

Question 26

A customer purchased $80,000 of Fund XYZ two years ago. He now wants to buy $50,000 of Fund LMN offered within the same fund family, which offers a $100,000 breakpoint under right of accumulation. Which of the following statements is true?

Options:

The additional investment qualifies for a $100,000 breakpoint.

Each fund requires contributions of $100,000 to qualify for a breakpoint.

The customer must sign a new letter of intent to receive the $100,000 breakpoint on the additional purchase.

The customer will receive a sales charge discount on his next purchase after the account balance of the fund reaches $100,000.

Discussion

Question 27

Under which of the following circumstances, if any, is a member firm permitted to send gifts to registered representatives (RRs) of another member firm?

Options:

No single gift exceeds $100; no limit on the number of gifts

No single gift exceeds $100; maximum value of all gifts per RR per year is $200

Value of all gifts to an RR during a period of one year does not exceed $100

Under no circumstance

Discussion

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