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FINRA SIE Fragen Und Antworten - SIE Zertifizierungsantworten

Wir versprechen, dass alle Kandidaten, die Shunglungsunterlagen von ZertSoft benutzt haben, Ihre FINRA SIE Prüfung 100% bestehen können, ohne Ausnahme. Wenn Sie heute ZertSoft wählen, fangen Sie dann mit Ihrem Training an. Sie können die nächste FINRA SIE Zertifizierungsprüfung sicher bestehen und die besten Ressourcen mit der Marktkohärenz und zuverlässiger Garantie bekommen

Unser ZertSoft ist eine fachliche IT-Website. Ihre Erfolgsquote beträgt 100%. Viele Kandidaten haben das schon bewiesen. Weil wir ein riesiges IT-Expertenteam hat, das nach ihren fachlichen Erfahrungen und Kenntnissen die FINRA SIE Prüfungsfragen und Antworten bearbeitet, um die Interessen der Kandidaten zu schützen und zugleich ihren Bedürfnisse abzudecken. Nach den Bedürfnissen der Kandidaten haben sie zielgerichtete und anwendbare Schulungsmaterialien entworfen, nämlich die Schulungsunterlagen zur FINRA SIE Zertifizierungsprüfung, die Fragen und Antworten enthalten.

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Auf unterschiedliche Art und Weise kann man verschiedene Zwecke erfüllen. Was wichtig ist, dass man welchen Weg einschlägt. Viele Leute beteiligen sich an der FINRA SIE Zertifizierungsprüfung, um seine Lebens-und Arbeitsumstände zu verbessern. Wie alle wissen, dass es nicht so leicht ist, die FINRA SIE (Securities Industry Essentials Exam (SIE)) Zertifizierungsprüfung zu bestehen. Für die Prüfung verwendet man viel Energie und Zeit. Traurigerweise haben sie die FINRA SIE Prüfung noch nicht bestanden.

FINRA SIE Prüfungsplan:

Thema
Einzelheiten

Thema 1

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 2

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 3

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.

Thema 4

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.

FINRA Securities Industry Essentials Exam (SIE) SIE Prüfungsfragen mit Lösungen (Q12-Q17):

12. Frage
How long are unused funds permitted to remain in a Coverdell education savings account?

A. All funds must be distributed when the beneficiary's age reaches 59 ½ years old.
B. There is no age limit preventing funds from remaining in a beneficiary's account.
C. All funds must be distributed when the beneficiary's age reaches 21 years old.
D. All funds must be distributed when the beneficiary's age reaches 30 years old.

Antwort: D

Begründung:
Coverdell Education Savings Accounts (ESAs) require that all funds be distributed by the time the beneficiary reaches 30 years old. If the funds are not used for qualified educational expenses, they may be subject to taxes and penalties.
* B is correctbecause funds must be distributed by age 30 unless transferred to another eligible family member.
* Ais incorrect as age 21 is not relevant for Coverdell ESAs.
* Cis incorrect because age 59 ½ applies to retirement accounts like IRAs.
* Dis incorrect because there is a distribution deadline for Coverdell accounts.

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

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

Antwort: B

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.

14. Frage
Which of the following statements best describes the permissibility of a borrowing arrangement between a registered representative (RR) and a customer who is also the RR's grandfather?

A. It is permissible if the loan was made on commercially reasonable terms.
B. It is permissible if the grandfather agrees in writing.
C. It is permissible provided that the loan was made in accordance with the firm's policies.
D. It is permissible subject to FINRA approval.

Antwort: C

Begründung:
Step by Step Explanation:
* FINRA Rule 3240: Permits borrowing or lending arrangements between RRs and customers under specific conditions, including familial relationships, provided the arrangement complies with the firm's policies.
* Incorrect Options:
* A: FINRA approval is not required; firm approval is.
* B: A written agreement alone is insufficient without firm approval.
* C: Commercially reasonable terms are not the sole criterion for permissibility.
References:
* FINRA Rule 3240 (Borrowing from or Lending to Customers): FINRA Rule 3240.

15. Frage
A customer purchases 100 shares of stock. The customer fears a decline in the share price and would like to protect his investment and minimize loss. Which of the following strategies should the customer employ to lock in his profit?

A. Purchase a call
B. Purchase a put
C. Sell a put
D. Sell a call

Antwort: B

Begründung:
Purchasing a put option allows the customer to sell the stock at a predetermined price (the strike price) if the share price declines. This strategy protects against downside risk while maintaining upside potential.
* C is correctbecause a put acts as insurance, locking in a minimum sale price.
* Ais incorrect because selling a put exposes the investor to additional risk if the stock declines.
* Bis incorrect because selling a call generates income but does not protect against downside risk.
* Dis incorrect because purchasing a call is a bullish strategy unrelated to protecting existing positions.

16. Frage
Which of the following statements is true regarding the ownership of investment company shares held as tenants in common?

A. All tenants must sign redemption requests.
B. Each tenant has a fractional interest in the investment.
C. Any income is distributed evenly among the tenants.
D. Upon the death of a tenant, all shares in the account are taxable in the estate of the deceased.

Antwort: B

Begründung:
Step by Step Explanation:
* Tenants in Common: In this arrangement, each tenant owns a fractional interest in the account's assets, which can be unequal depending on the agreement.
* Income Distribution: Income is distributed based on ownership percentage, not necessarily equally.
* Redemption Requests: Only the owner of the fractional interest has authority to request redemption for their portion.
* Estate Taxation: Upon the death of a tenant, only their fractional interest is taxable in their estate.
References:
* FINRA Guidelines on Joint Accounts: FINRA Joint Accounts.

17. Frage
......

Die Examfragen zur FINRA SIE Zertifizierungsprüfung von ZertSoft ist von den IT-Experten verifiziert und überprüft. Die Fragen und Antworten zur FINRA SIE Zertifizierungsprüfung sind die von der Praxis überprüfte Software und die Schulungsinstrumente. In ZertSoft werden Sie die besten Zertifizierungsmaterialien finden, die originale Fragen und Antworten enthalten. Unsere Materialien bieten Ihnen die Chance, die echten Übungen zu machen. Endlich werden Sie Ihr Ziel, nämlich die FINRA SIE Zertifizierungsprüfung zu bestehen, erreichen.

SIE Zertifizierungsantworten: https://www.zertsoft.com/SIE-pruefungsfragen.html

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