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

NEW QUESTION # 15
Under which of the following circumstances, if any, is a member firm permitted to send gifts to registered representatives (RRs) of another member firm?

A. No single gift exceeds $100; no limit on the number of gifts
B. No single gift exceeds $100; maximum value of all gifts per RR per year is $200
C. Value of all gifts to an RR during a period of one year does not exceed $100
D. Under no circumstance

Answer: C

Explanation:
FINRA Rule 3220 prohibits member firms from giving gifts exceeding $100 per individual per year to ensure that gifts do not influence business conduct. The rule applies to gifts given in connection with the firm's business.
* C is correctbecause it adheres to FINRA's $100 annual limit.
* Ais incorrect because the total value of gifts must also not exceed $100 annually.
* Bis incorrect as there is no $200 limit.
* Dis incorrect as gifts are allowed within the $100 limit.

NEW QUESTION # 16
Which of the following statements is true regarding the difference in treatment between common stock and preferred stock?

A. Common stock and preferred stock are treated the same when it comes to payment of dividends.
B. Common stock is a lower priority compared to preferred stock under a bankruptcy proceeding.
C. Common stock and preferred stock are treated the same under a bankruptcy proceeding.
D. Common stock dividend payment is treated as a higher priority over that of preferred stock.

Answer: B

Explanation:
Step by Step Explanation:
* Priority in Bankruptcy: Preferred stockholders have a higher claim on a company's assets than common stockholders during liquidation. Common stockholders are residual claimants.
* Dividend Priority: Preferred stockholders are entitled to fixed dividends before common stockholders receive any dividends.
* Incorrect Options:
* A & B: Common and preferred stocks are treated differently in bankruptcy and dividend payments.
* C: Common stock dividends are subordinate to preferred stock dividends.
References:
* SEC Guidance on Stockholder Rights: SEC Stock Rights.

NEW QUESTION # 17
If an investor is bullish on ABC, which of the following actions will he most likely take?

A. Buy ABC stock
B. Sell ABC calls
C. Buy ABC puts
D. Sell ABC stock short

Answer: A

Explanation:
Step by Step Explanation:
* Bullish Position: Buying ABC stock aligns with the expectation that the stock's price will rise, allowing the investor to profit.
* Incorrect Options:
* A: Buying puts is a bearish strategy.
* C: Selling calls benefits from stable or declining prices.
* D: Selling short is a bearish strategy anticipating a price drop.
References:
* FINRA Guidance on Market Strategies: FINRA Trading Basics.

NEW QUESTION # 18
Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities, which of the following conditions must be met?

A. The company must be traded on a listed stock exchange.
B. The shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.
C. The affiliate must have a holding period of six months.
D. The issuer must notify FINRA of the proposed sale by submitting a Form 144.

Answer: C

Explanation:
Step by Step Explanation:
* Rule 144 Holding Period: Restricted securities held by affiliates require a six-month holding period before sale, provided the issuer is subject to SEC reporting requirements.
* Other Options:
* Notification to FINRA (C) is incorrect; Form 144 is submitted to the SEC, not FINRA.
* The 10% ADTV limitation (D) applies to the volume of shares sold, not the conditions for sale.
References:
* SEC Rule 144 (Selling Restricted Securities): SEC Rule 144.

NEW QUESTION # 19
An investor wants to purchase additional mutual fund shares with income distributed by the fund. Which of the following fund options permits this?

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

Answer: B

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 # 20
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