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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q15-Q20):

NEW QUESTION # 15
Offering 403(b) tax-sheltered annuity accounts to which of the following groups is permissible?

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

Answer: C

NEW QUESTION # 16
An investor buys 100 shares of a stock at $50.00 per share. The company declares a 10% stock dividend.
What will the investor's cost basis per share be following the payment of the dividend?

A. $45.45
B. $50.50
C. $50.00
D. $45.00

Answer: A

Explanation:
A stock dividend increases the number of shares owned without affecting the total cost basis. The new cost basis per share is calculated by dividing the original total investment by the new number of shares:
* Original total investment = 100 shares × $50.00 = $5,000
* After a 10% stock dividend, the investor owns 110 shares.
* New cost basis = $5,000 ÷ 110 shares =$45.45per share.
* B is correctbecause it reflects the adjusted cost basis per share.

NEW QUESTION # 17
A customer purchased $80,000 of Fund XYZ two years ago. He now wants to buy $50,000 of Fund LMN offered within the same fund family, which offers a $100,000 breakpoint under right of accumulation. Which of the following statements is true?

A. The additional investment qualifies for a $100,000 breakpoint.
B. The customer will receive a sales charge discount on his next purchase after the account balance of the fund reaches $100,000.
C. Each fund requires contributions of $100,000 to qualify for a breakpoint.
D. The customer must sign a new letter of intent to receive the $100,000 breakpoint on the additional purchase.

Answer: A

Explanation:
Step by Step Explanation:
* Right of Accumulation: Allows an investor to combine the value of existing investments within the same fund family to qualify for a breakpoint (reduced sales charge) on new purchases.
* Current Holdings: $80,000
* New Purchase: $50,000
* Total: $130,000, qualifying for the $100,000 breakpoint.
* Incorrect Options:
* B: Contributions from all funds within the same family can be aggregated.
* C: A new letter of intent is unnecessary; right of accumulation applies automatically.
* D: Discounts apply immediately, not retroactively.
References:
* FINRA Guidance on Breakpoints: FINRA Breakpoints.

NEW QUESTION # 18
Company ABC stock currently trades on an exchange. An ABC insider wants to sell a large number of shares of her privately held ABC stock. ABC files the necessary paperwork to register the shares, but the insider decides to wait and sell the stock at a later date. Which of the following terms best describes the type of offering that is occurring in this situation?

A. A rights offering
B. An exempt offering
C. A private offering
D. A secondary offering

Answer: D

Explanation:
Step by Step Explanation:
* Secondary Offering: Involves the sale of shares by an existing shareholder, such as an insider, rather than the company itself issuing new shares.
* Incorrect Options:
* A: Rights offerings involve giving existing shareholders the opportunity to buy additional shares.
* B: Private offerings are not registered with the SEC and involve limited investors.
* C: An exempt offering refers to securities exempt from SEC registration, such as Regulation D offerings.
References:
* SEC Guide on Secondary Offerings: SEC Secondary Offerings.

NEW QUESTION # 19
Which of the following transactions is most profitable if executed prior to a significant rise in a company's stock price?

A. Selling a put option
B. Buying a call option
C. Selling a call option
D. Buying a put option

Answer: B

Explanation:
Buying a call option gives the investor the right to purchase the stock at a fixed price (strike price). If the stock's price rises significantly, the value of the call option increases, allowing the investor to profit.
* B is correctbecause a call option profits directly from a stock price increase.
* Ais incorrect because a put option profits from a stock price decline.
* CandDare incorrect because selling options limits profit potential and exposes the seller to significant risk if the stock moves unfavorably.

NEW QUESTION # 20
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TOP Latest Test SIE Simulations - FINRA Securities Industry Essentials Exam (SIE) - High Pass-Rate SIE Dumps Torrent

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q15-Q20):

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