Finra surepassexam free Sie Questions Attempt by Neave q49 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:	neave

Question 8

Which of the following activities is a responsibility of a mutual fund transfer agent?

Options:

Underwriting new shares of securities

Distributing the fund's prospectus to investors

Maintaining custody of the fund's securities

Maintaining records of shareholder purchases and redemptions

Discussion

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Question 9

The financial risk that a given security is not readily tradable in the market without impacting the market price is known as:

Options:

Credit risk

Market risk

Liquidity risk

Prepayment risk

Discussion

Question 10

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?

Options:

1 time

3 times

6 times

10 times

Discussion

Question 11

Company ABC stock currently trades on an exchange. An ABC insider wants to sell a large number of shares of her privately held ABC stock. ABC files the necessary paperwork to register the shares, but the insider decides to wait and sell the stock at a later date. Which of the following terms best describes the type of offering that is occurring in this situation?

Options:

A rights offering

A private offering

An exempt offering

A secondary offering