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Free PDF 2025 FINRA Unparalleled SIE: Practice Securities Industry Essentials Exam (SIE) Exam Pdf

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q163-Q168):

NEW QUESTION # 163
An investor wants to purchase mutual fund shares, but she is concerned about the tax efficiency of the fund.
Which of the following disclosures required under industry regulations will help the investor make an informed decision?

A. The fund's turnover ratio
B. The commissions that the fund pays on each transaction
C. Sales charges and breakpoint discount opportunities
D. Projections of future dividend and capital gains distributions

Answer: A

Explanation:
Step by Step Explanation:
* Turnover Ratio: Indicates how frequently the fund manager buys and sells securities. A high turnover ratio may result in higher capital gains distributions, impacting tax efficiency.
* Incorrect Options:
* B: Sales charges affect cost but not tax efficiency.
* C: Commission details are unrelated to the fund's tax efficiency.
* D: Projections of distributions are speculative and not disclosed under regulations.
References:
* SEC Mutual Fund Guide: SEC Mutual Funds.

NEW QUESTION # 164
Which of the following risks are associated with Treasury securities?

A. Interest rate risk
B. Liquidity risk
C. Credit risk
D. Prepayment risk

Answer: A

Explanation:
Step by Step Explanation:
* Interest Rate Risk: Treasury securities are sensitive to changes in interest rates. When rates rise, Treasury prices fall, exposing investors to price risk.
* Incorrect Options:
* Credit Risk: Virtually nonexistent for Treasuries, as they are backed by the U.S. government.
* Liquidity Risk: Treasuries are highly liquid.
* Prepayment Risk: Applies to mortgage-backed securities, not Treasuries.
References:
* SEC Bond Risk Disclosures: SEC Treasury Risks.

NEW QUESTION # 165
At a prospecting event, a registered representative (RR) provides cards for attendees to write down their contact information if they want to have a follow-up meeting with her. Which of the following actions should the RR take in this situation to comply with telemarketing rules?

A. Prior to contacting the prospects, check all of the names on the cards to make sure they are not on the National Do Not Call Registry
B. Limit contact with prospects to between 9 a.m. and 9 p.m.
C. Contact the prospects at will since they provided express written consent
D. Obtain the broker-dealer's approval before making a call

Answer: A

Explanation:
Step by Step Explanation:
* Telemarketing Rules (FINRA Rule 3230): Require firms to check the National Do Not Call Registry before contacting individuals, even if those individuals provide their contact information voluntarily.
* Incorrect Options:
* A: Approval isn't required for individual follow-ups; compliance with the registry is.
* B: While calls must be limited to appropriate hours, the registry check is still mandatory.
* C: Written consent does not override the registry requirement.
References:
* FINRA Rule 3230 (Telemarketing): FINRA Rule 3230.

NEW QUESTION # 166
Rising economic activity is most likely to increase revenues of which of the following sectors?

A. Healthcare
B. Utilities
C. Consumer staples
D. Consumer discretionary

Answer: D

Explanation:
Step by Step Explanation:
* Consumer Discretionary Sector: Includes products and services that are not essential, such as luxury items, travel, and entertainment. Revenues increase as disposable income rises during economic expansion.
* Consumer Staples and Utilities: These sectors are defensive and less impacted by economic cycles.
* Healthcare: Also less correlated with economic cycles due to its essential nature.
References:
* SEC and FINRA Guidance on Sectors: Investopedia Sector Overview.

NEW QUESTION # 167
Corporate bonds unsecured by any pledge of property are called:

A. Debentures
B. Trust certificates
C. General obligation (GO) bonds
D. Collateral trust bonds

Answer: A

Explanation:
Step by Step Explanation:
* Debentures: Corporate bonds not backed by physical assets or collateral. They rely on the issuer's creditworthiness.
* Incorrect Options:
* B: Trust certificates are a legacy term for bonds backed by a trust.
* C: Collateral trust bonds are secured by financial assets.
* D: GO bonds are issued by municipalities, not corporations.
References:
* SEC Guide on Corporate Bonds: SEC Corporate Bonds.

NEW QUESTION # 168
......

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