SIE LATEST EXAM GUIDE - NEW SIE EXAM DURATION

SIE Latest Exam Guide - New SIE Exam Duration

SIE Latest Exam Guide - New SIE Exam Duration

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Tags: SIE Latest Exam Guide, New SIE Exam Duration, Reliable SIE Exam Guide, SIE New Dumps Free, SIE Latest Braindumps Pdf

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New SIE Exam Duration | Reliable SIE Exam Guide

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q132-Q137):

NEW QUESTION # 132
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. The settlement of the transaction
  • C. Clearing the trade
  • D. A delivery versus payment (DVP) transaction

Answer: B

Explanation:
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.


NEW QUESTION # 133
Class A and Class C shares of a mutual fund differ in which of the following ways?

  • A. When the customer is permitted to purchase
  • B. The underlying investments
  • C. The expense ratio
  • D. The net asset value (NAV)

Answer: C

Explanation:
Step by Step Explanation:
* Expense Ratio: Class A shares typically have lower ongoing expense ratios but higher front-end sales charges. Class C shares often have higher ongoing expense ratios but no front-end charges.
* Incorrect Options:
* B: NAV is determined daily and does not vary by share class.
* C: All share classes invest in the same underlying portfolio.
* D: Purchase timing is the same for all share classes.
References:
* SEC Guidance on Mutual Fund Share Classes: SEC Fund Classes.


NEW QUESTION # 134
A market maker quotes the market on an NMS equity security as 39.05 - 39.15 [5x10]. Which of the following orders is the market maker required to fill?

  • A. A sell stop order for 500 shares at $39.00
  • B. A sell order for 300 shares at $39.05
  • C. A buy order for 1,000 shares at $39.10
  • D. A buy order for 2,000 shares at $39.15

Answer: D


NEW QUESTION # 135
When is it permissible to exercise European-style options contracts?

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

Answer: D

Explanation:
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.


NEW QUESTION # 136
Which of the following strategies is an investor most likely to employ using options contracts?

  • A. Buying put options when the market shows upward momentum
  • B. Buying call options when the market shows downward momentum
  • C. Selling call options to set a definitive ceiling for potential losses
  • D. Buying put options to set a definitive floor for potential losses

Answer: D

Explanation:
Buying a put option gives the investor the right to sell a stock at a specific strike price, effectively setting a floor for potential losses if the stock price declines. This is a common risk-management strategy.
* A is correctbecause buying puts limits downside risk while retaining the potential for upside gains.
* Bis incorrect as buying puts is a bearish strategy, not one used during upward momentum.
* Cis incorrect because selling call options does not hedge losses; it is a speculative or income-generating strategy.
* Dis incorrect because buying calls is a bullish strategy, used during upward momentum, not downward.


NEW QUESTION # 137
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