VALID SIE EXAM DUMPS | SIE EXAM TESTS

Valid SIE Exam Dumps | SIE Exam Tests

Valid SIE Exam Dumps | SIE Exam Tests

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Tags: Valid SIE Exam Dumps, SIE Exam Tests, SIE Complete Exam Dumps, SIE Latest Exam Dumps, Exam SIE Forum

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Free PDF 2025 SIE: Professional Valid Securities Industry Essentials Exam (SIE) Exam Dumps

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q122-Q127):

NEW QUESTION # 122
Which of the following events requires reporting on a Form U4?

  • A. A felony conviction for drunk driving
  • B. A gross-misdemeanor domestic assault conviction
  • C. A misdemeanor speeding ticket
  • D. A bench warrant for missing a court date

Answer: A

Explanation:
Form U4 (Uniform Application for Securities Industry Registration or Transfer) requires disclosure of any felony convictions, regardless of whether they are securities-related. A felony conviction for drunk driving falls under this requirement.
* B is correctbecause a felony conviction must be reported on Form U4.
* Ais incorrect as misdemeanor speeding tickets do not require disclosure unless they involve fraud, theft, or dishonesty.
* Cis incorrect as bench warrants are not reportable unless they lead to a conviction.
* Dis incorrect because gross misdemeanors (except those involving fraud or dishonesty) do not require reporting.


NEW QUESTION # 123
Which of the following account registration types is subject to probate upon the death of the account owner?

  • A. Irrevocable trust
  • B. Individual
  • C. Joint tenants with right of survivorship (JTWROS)
  • D. Transfer-on-death (TOD)

Answer: B

Explanation:
Accounts held individually are subject to probate, which is the legal process of administering the decedent's estate. Probate determines the distribution of assets according to the deceased's will or state intestacy laws.
* A is correctbecause individual accounts require probate to transfer assets.
* Bis incorrect because irrevocable trusts bypass probate.
* Cis incorrect because TOD accounts allow direct transfer of assets to named beneficiarieswithout probate.
* Dis incorrect because JTWROS accounts transfer ownership to the surviving account holder automatically.


NEW QUESTION # 124
Which of the following responses accurately describes a secondary market transaction?

  • A. Buying securities on a registered securities exchange
  • B. Buying securities in a private placement from a broker-dealer
  • C. Buying open-end mutual fund shares
  • D. Buying securities directly from the issuing company

Answer: A

Explanation:
A secondary market transaction occurs when securities are bought and sold between investors, typically on an exchange.
* C is correctbecause securities purchased on a registered exchange are secondary market transactions.
* Ais incorrect as open-end mutual fund shares are purchased directly from the issuer.
* Brefers to the primary market.
* Dis also incorrect as private placements occur in the primary market.


NEW QUESTION # 125
Which of the following characteristics best describes a benefit of a variable annuity subaccount?

  • A. The account is held at a broker-dealer that is separate from the insurance company, thereby allowing tax-deferred investments in all types of securities products.
  • B. The account is managed by a third-party custodian and is, therefore, subject to lower management fees than those charged by the insurance company.
  • C. The account represents the indebtedness of the insurance company that is subordinated to the claims of general creditors and, therefore, offers investors a higher rate of return.
  • D. The account is held separately from the insurance company's general account and, therefore, is protected from the claims of general creditors of the insurance company.

Answer: D

Explanation:
Variable annuity subaccounts are held in separate accounts, distinct from the insurance company's general account. This separation protects subaccount assets from claims by creditors in case the insurance company becomes insolvent.
* C is correctbecause the separate account ensures creditor protection.
* Ais incorrect as management fees for variable annuities are often higher.
* Bis incorrect because the subaccounts are not held at broker-dealers.
* Dis incorrect as subaccounts do not represent subordinated debt.


NEW QUESTION # 126
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 is acting as an intermediary between the customer and an unrelated firm.
  • B. The firm is selling to the customer from its inventory.
  • C. The firm is acting as an intermediary between the customer and another customer.
  • D. The firm matched the customer's purchase with a sell order listed on an electronic communication network (ECN).

Answer: B

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 # 127
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