New SIE Test Question, Lab SIE Questions

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FINRA SIE Exam Syllabus Topics:

Topic	Details
Topic 1	Understanding Trading, Customer Accounts, and Prohibited Activities: This section of the exam measures the skills of Securities Traders and focuses on different trading strategies, settlement processes, and corporate actions. Candidates must demonstrate knowledge of order types, including market, limit, stop, and good-til-canceled orders, as well as bid-ask spreads and discretionary versus non-discretionary trading.
Topic 2	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.
Topic 3	Overview of the Regulatory Framework: This section of the exam measures the skills of Compliance Officers and evaluates knowledge of self-regulatory organization (SRO) requirements, including registration and continuing education for associated persons. Candidates must understand the distinction between registered and non-registered individuals and the requirements for maintaining industry qualifications.
Topic 4	Understanding Products and Their Risks: This section of the exam measures the skills of Investment Analysts and examines different financial products and associated risks. Candidates must understand equity securities, including common stock, as well as debt instruments such as Treasury securities and mortgage-backed securities.

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2025 New SIE Test Question | High-quality Lab SIE Questions: Securities Industry Essentials Exam (SIE) 100% Pass

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q52-Q57):

NEW QUESTION # 52
If a company with a single outstanding bond issue chooses to extinguish this debt through refunding, which of the following actions will occur?

A. The company will retire one debt with the proceeds from another issue.
B. The company will issue stock to replace the bonds.
C. The company will establish a sinking fund for use in making regular open-market purchases of the bonds.
D. The company will buy back the bonds, at a discount, from the bondholders.

Answer: A

Explanation:
Refunding involves replacing existing debt with new debt, usually to take advantage of lower interest rates.
* B is correctbecause the company issues new bonds to pay off the existing debt.
* Ais incorrect as refunding involves issuing debt, not equity.
* Cis incorrect because the company is not obligated to buy back bonds at a discount.
* Dis incorrect because a sinking fund is used for gradual repayment, not refunding.

NEW QUESTION # 53
Publicly traded limited partnership interests are typically considered:

A. Mutual funds
B. Equity securities
C. Derivative investments
D. Fixed-income securities

Answer: B

Explanation:
Step by Step Explanation:
* Publicly Traded Limited Partnerships (PTPs): Represent ownership stakes, which categorize them as equity securities. PTPs often involve sectors like real estate or energy.
* Incorrect Options:
* A: Mutual funds are pooled investment vehicles, not partnerships.
* C: Fixed-income securities are debt instruments like bonds.
* D: Derivatives include options or futures, not ownership stakes.
References:
* SEC Guidance on Publicly Traded Partnerships: SEC PTPs.

NEW QUESTION # 54
Offering 403(b) tax-sheltered annuity accounts to which of the following groups is permissible?

A. Small business owners
B. Employees of a nonprofit hospital
C. Active duty military personnel
D. Volunteer workers

Answer: B

Explanation:
Step by Step Explanation:
* 403(b) Accounts: These tax-advantaged retirement plans are specifically for employees of public schools, tax-exempt organizations, and certain other nonprofit employers, such as hospitals.
* Incorrect Options:
* Volunteer Workers: Ineligible unless they are also employees.
* Small Business Owners and Military Personnel: These groups typically qualify for other retirement plans, not 403(b).
References:
* IRS Publication 571 (403(b) Plans): IRS 403(b) Guidance.

NEW QUESTION # 55
A municipal securities dealer makes a political contribution of $990 to a local mayoral candidate. At the end of the quarter, to whom, if anyone, must the dealer report the contribution?

A. No disclosure required as the amount is below the reporting threshold
B. FINRA
C. MSRB
D. SEC

Answer: C

Explanation:
Step by Step Explanation:
* MSRB Rule G-37: Requires municipal securities dealers to report contributions to the MSRB, even if the amount is below the $1,000 threshold that would trigger a two-year prohibition on municipal business.
* Incorrect Options:
* SEC and FINRA: Not involved in reporting political contributions for municipal securities.
References:
* MSRB Rule G-37 (Political Contributions): MSRB Rule G-37.

NEW QUESTION # 56
A customer is unhappy about a $5,000 loss in a stock that the registered representative (RR) recommended and threatens to call FINRA's Securities Helpline for Seniors about the matter. What is the most appropriate next step for the RR to take?

A. The RR is permitted to reimburse the customer for the loss to resolve the customer's complaint.
B. The RR should notify their supervisor about the customer's dissatisfaction.
C. The RR should call FINRA's Securities Helpline for Seniors before the customer does and explain their side of the story.
D. The RR should alert their compliance department to update their Form U4 with the complaint details.

Answer: B

Explanation:
Step by Step Explanation:
* Escalation Requirement: The RR must promptly notify their supervisor or compliance department about the customer's complaint as required by FINRA rules. Supervisors handle customer complaints according to firm procedures.
* Incorrect Options:
* B: Reimbursing the customer is not permissible without firm approval and may create compliance issues.
* C: Complaints requiring Form U4 updates involve specific allegations such as fraud, not general dissatisfaction.
* D: The RR should not contact FINRA directly; the firm will handle communications.
References:
* FINRA Rule 4530 (Reporting Requirements): FINRA Rule 4530.

NEW QUESTION # 57
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New SIE Test Question, Lab SIE Questions

FINRA SIE Exam Syllabus Topics:

2025 New SIE Test Question | High-quality Lab SIE Questions: Securities Industry Essentials Exam (SIE) 100% Pass

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q52-Q57):

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