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High-quality SIE Exams Dumps - Pass SIE Once - Complete SIE Pdf Demo Download

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High Pass-Rate FINRA - SIE - Securities Industry Essentials Exam (SIE) Exams Dumps

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q99-Q104):

NEW QUESTION # 99
An investor wants to purchase additional mutual fund shares with income distributed by the fund. Which of the following fund options permits this?

A. Dollar cost averaging
B. Capital gains reinvestment
C. Dividend reinvestment
D. Asset reallocation

Answer: C

Explanation:
Step by Step Explanation:
* Dividend Reinvestment Plans (DRIPs): These allow investors to automatically reinvest income distributed by the mutual fund to purchase additional shares.
* Dollar Cost Averaging: Refers to systematic investments over time, not directly tied to income distributions.
* Capital Gains Reinvestment: Involves reinvesting profits from the sale of fund holdings, which is distinct from dividend reinvestment.
References:
* FINRA Mutual Fund Features: FINRA Mutual Funds.

NEW QUESTION # 100
An investor who lives on a fixed income and is concerned about inflation is most exposed to which of the following risks?

A. Interest rate risk
B. Economic risk
C. Market risk
D. Purchasing power risk

Answer: D

Explanation:
Purchasing power risk, also known as inflation risk, occurs when inflation reduces the real value of a fixed- income stream. Fixed payments (e.g., bond interest or annuity payments) lose buying power as inflation rises.
* D is correctbecause inflation directly affects fixed income by eroding purchasing power.
* Ais incorrect because market risk relates to fluctuations in market prices, not inflation.
* Bis incorrect because economic risk generally refers to broader economic downturns.
* Cis incorrect because interest rate risk involves changes in bond prices due to interest rate movements, not inflation.

NEW QUESTION # 101
According to FINRA rules, under which of the following circumstances, if any, is a member firm permitted to send gifts to a registered representative of another member firm?

A. Under no circumstances
B. When the value of all gifts during a period of one year does not exceed $100
C. When no single gift exceeds $100 and there is no limit on the number of gifts
D. When no single gift exceeds $100 in value and the maximum value of all gifts per year equals $250

Answer: B

Explanation:
Step by Step Explanation:
* FINRA Rule 3220: This rule limits gifts to $100 per person annually to prevent conflicts of interest.
* Aggregate Limit: There is no provision for exceeding the $100 annual limit, regardless of the number of gifts.
* Purpose: The rule ensures that gifts do not influence decisions or create unethical relationships.
References:
* FINRA Rule 3220 (Influencing or Rewarding Employees of Others): FINRA Rule 3220.

NEW QUESTION # 102
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 30 years old.
B. All funds must be distributed when the beneficiary's age reaches 59 ½ years old.
C. There is no age limit preventing funds from remaining in a beneficiary's account.
D. All funds must be distributed when the beneficiary's age reaches 21 years old.

Answer: A

Explanation:
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.

NEW QUESTION # 103
Which of the following security types is frequently offered to the public as part of a package or unit that also includes a fixed income obligation?

A. Preferred stock
B. Options
C. Warrants
D. Common stock

Answer: C

Explanation:
Step by Step Explanation:
* Warrants: Are often issued alongside fixed-income securities, such as bonds, to enhance their appeal to investors. Warrants give the holder the right to purchase company stock at a specific price in the future.
* Incorrect Options:
* Options: Not typically bundled with fixed-income securities.
* Common and Preferred Stock: Usually issued separately, not as part of a package with bonds.
References:
* SEC Guide on Warrants: SEC Warrants Information.

NEW QUESTION # 104
......

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