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SIE Actual Test & SIE Dumps Torrent & SIE Actual Questions

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

NEW QUESTION # 99
Which of the following responses best describes a short sale?

  • A. A sale of securities that results in a loss
  • B. A sale of securities that results in an unsecured debit balance in the investor's account
  • C. A sale of securities that the investor had purchased in his cash account but had not yet paid for
  • D. A sale of securities that the investor does not own

Answer: D

Explanation:
Step by Step Explanation:
* Short Sale Definition: Involves selling borrowed securities with the expectation of repurchasing them at a lower price.
* Investor Ownership: Short sales do not involve securities already owned by the seller.
* Other Options: None of the other choices accurately define a short sale.
References:
* SEC Regulation SHO (Short Selling): SEC Short Sales.


NEW QUESTION # 100
A grandfather establishes a Uniform Transfers to Minors Act (UTMA) custodial account for his grandson and appoints an attorney as custodian. Which of the following individuals owns the account?

  • A. Grandson
  • B. Grandson's parent
  • C. Grandfather
  • D. Attorney

Answer: A

Explanation:
In a UTMA account, the minor is the legal owner of the account. The custodian (in this case, the attorney) manages the account until the minor reaches the age of majority specified by state law.
* C is correctbecause the grandson (the minor) is the account's legal owner.
* Ais incorrect because the attorney is the custodian, not the owner.
* Bis incorrect because the grandfather established the account but does not own it.
* Dis incorrect because the parent does not have ownership unless explicitly named as the custodian.


NEW QUESTION # 101
How long are unused funds permitted to remain in a Coverdell education savings account?

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

Answer: B

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 # 102
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. FINRA
  • B. No disclosure required as the amount is below the reporting threshold
  • 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 # 103
A customer wants to open an account to trade covered calls and puts. Which of the followingcommunications must be provided to the customer prior to approving the account for trading?

  • A. Options disclosure document (ODD)
  • B. Prospectus
  • C. Margin disclosure statement
  • D. MSRB Investor Brochure

Answer: A

Explanation:
FINRA Rule 2360 requires that customers receive theOptions Disclosure Document (ODD), published by the Options Clearing Corporation (OCC), before they are approved to trade options. The ODD explains the risks and characteristics of options trading.
* D is correctbecause the ODD is mandatory for options account approval.
* Ais incorrect because a prospectus is not specific to options trading.
* Bis incorrect because the MSRB Investor Brochure applies to municipal securities.
* Cis incorrect because a margin disclosure statement is required only for margin accounts.


NEW QUESTION # 104
......

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