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SIE Übungsfragen: Securities Industry Essentials Exam (SIE) & SIE Dateien Prüfungsunterlagen

Egal wie attraktiv die Vorstellung ist, ist nicht so überzeugend wie Ihre eigene Empfindung. Die Demo der FINRA SIE Software können Sie auf unsere Webseite PrüfungFrage einfach herunterladen. Unser erfahrenes Team bieten Ihnen die zuverlässigsten Unterlagen der FINRA SIE. Wenn Sie noch Fragen über FINRA SIE Prüfungsunterlagen haben, können Sie sich auf unsere Website online darüber konsultieren. Onlinedienst bieten wir ganztägig.

FINRA SIE Prüfungsplan:

Thema
Einzelheiten

Thema 1

Employee Conduct and Reportable Events: This section of the exam measures the skills of Financial Compliance Specialists and covers regulatory expectations regarding employee conduct and disclosure requirements. Candidates must be familiar with Form U4 and Form U5, as well as reporting obligations for outside business activities and political contributions.

Thema 2

Market Structure: This section of the exam measures the skills of Equity Market Specialists and covers the classification of financial markets, including the primary, secondary, third, and fourth markets. Candidates must demonstrate knowledge of electronic trading, over-the-counter (OTC) markets, and physical exchanges. One specific skill tested is differentiating between various market types and their operational mechanisms.

Thema 3

Regulatory Entities, Agencies, and Market Participants: This section of the exam measures the skills of Financial Regulatory Analysts and covers the structure, authority, and jurisdiction of key regulatory bodies overseeing financial markets. The SEC's role in enforcing securities regulations is assessed, along with the authority of self-regulatory organizations such as FINRA and MSRB. Candidates must also understand the functions of other financial regulators, including the Department of the Treasury and state regulatory agencies. One key skill evaluated is identifying the jurisdictional scope of different financial regulators.

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FINRA Securities Industry Essentials Exam (SIE) SIE Prüfungsfragen mit Lösungen (Q65-Q70):

65. Frage
The process in which the buying firm must pay for the securities and the selling firm must deliver the securities is known as:

A. A corporate action
B. A delivery versus payment (DVP) transaction
C. Clearing the trade
D. The settlement of the transaction

Antwort: D

Begründung:
Step by Step Explanation:
* Settlement of the Transaction: Refers to the finalization of a trade, where the buyer pays for the securities, and the seller delivers them. For most securities, regular-way settlement occurs T+2 (trade date plus two business days).
* Incorrect Options:
* Clearing the Trade: Refers to matching trade details to prepare for settlement.
* DVP Transactions: A specific type of settlement involving simultaneous payment and delivery, often used for institutional clients.
* Corporate Action: Refers to events like stock splits or dividend declarations.
References:
* FINRA and SEC Guidelines on Settlement: SEC Settlement Process.

66. Frage
Pursuant to the Securities Act of 1933, registration is required for which of the following securities?

A. Municipal securities
B. U.S. government issues
C. Private placements
D. Open-end investment companies

Antwort: D

Begründung:
The Securities Act of 1933 requires securities offered to the public to be registered with the SEC unless they qualify for an exemption. Open-end investment companies (mutual funds) are not exempt and must register.
* D is correctbecause mutual funds are publicly offered and require registration.
* Ais incorrect because private placements are exempt under Regulation D.
* Bis incorrect because municipal securities are exempt under Section 3(a)(2).
* Cis incorrect because U.S. government securities are also exempt under Section 3(a)(2).

67. Frage
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?

A. 10 times
B. 1 time
C. 6 times
D. 3 times

Antwort: D

Begründung:
Under the Insider Trading and Securities Fraud Enforcement Act of 1988, the SEC may impose acivil penalty of up to three timesthe profit gained or loss avoided (referred to as "treble damages") on individuals found guilty of insider trading.
* B is correctbecause treble damages equal three times the profit or avoided loss.
* Ais incorrect because the penalty is not limited to one time the profit.
* CandDare incorrect because the penalty is capped at three times, not six or ten times.

68. Frage
When is it permissible to exercise European-style options contracts?

A. Only on the day of expiration
B. Only on the third Friday of every month
C. Only on the day after expiration
D. Only on the last business day before expiration

Antwort: A

Begründung:
Step by Step Explanation:
* European-Style Options: Can only be exercised on their expiration date, unlike American-style options, which can be exercised any time before expiration.
* Incorrect Options:
* A: Not accurate; the exercise must occur specifically on the expiration date.
* C: Options cannot be exercised after expiration.
* D: The expiration date depends on the option contract, not a specific weekday.
References:
* Options Clearing Corporation (OCC) Guidelines: OCC European Options.

69. Frage
A customer has a stock position that has increased in value since the time he purchased it. Which of the following terms describes his current situation?

A. Unrealized gain
B. Interest income
C. Operating profit
D. Out of the money

Antwort: A

Begründung:
An unrealized gain occurs when the value of an asset increases but has not yet been sold. If the customer sells the stock, the unrealized gain becomes a realized gain.
* B is correctbecause the increase in value without selling the stock is an unrealized gain.
* Ais incorrect because interest income refers to earnings from fixed-income securities.
* Cis incorrect because operating profit relates to a company's earnings, not an investor's portfolio.
* Dis incorrect because "out of the money" is a term used for options, not stocks.

70. Frage
......

Die FINRA SIE Zertifizierungsprüfung ist sehr schwierig. Obwohl die FINRA SIE Prüfung sehr schwer ist, gibt es noch viele Prüfungsanmelder. Warum? Weil FINRA SIE Prüfung eine sehr wichtige Prüfung. Für ITer gibt es negativen Einfluss für die Arbeit. Diese Zertifizierung können Ihnen viele Vorteile bringen. Und es kann auch Ihnen erhöhte Chance schaffen. Zusammenfassend nehmen FINRA SIE Prüfung großen Einfluss auf Ihre Karriere. Wollen Sie diese so wichtige Prüfung ablegen?

SIE Probesfragen: https://www.pruefungfrage.de/SIE-dumps-deutsch.html

Chris Bell Chris Bell

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