最新的FINRA Securities Industry Essentials Exam (SIE) - SIE免費考試真題
問題1
A customer ' s portfolio is 100% invested in Government National Mortgage Association (Ginnie Mae) mortgage-backed securities. To which of the following risks is the customer exposed?
正確答案: D
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問題2
Under FINRA rules, which of the following events will prevent an individual from being eligible to register with a member firm?
正確答案: A
說明：（僅 VCESoft 成員可見）
問題3
The Federal Reserve is expected to announce several sizeable interest rate increases over the next year. It is most likely attempting to address:
正確答案: B
說明：（僅 VCESoft 成員可見）
問題4
A customer instructs his registered representative (RR) to purchase $35,000 Class A shares of Growth Fund ABC. As the RR enters the order, she overhears her customer speaking to his wife about purchasing $100,000 of Emerging Markets Fund ABC once he gets his year-end bonus. Which of the following statements is true about receiving a breakpoint discount for the current purchase?
正確答案: C
說明：（僅 VCESoft 成員可見）
問題5
Under which of the following circumstances, if any, is a member firm permitted to send gifts to registered representatives (RRs) of another member firm?
正確答案: C
說明：（僅 VCESoft 成員可見）
問題6
The formation of an asset-backed security or debt obligation that represents a claim on the cash flows from mortgage loans is known as:
正確答案: B
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問題7
Which of the following features is characteristic of common stock?
正確答案: A
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問題8
A bullish Investor Is most likely to participate in the market using which of the following trading strategies?
正確答案: A
問題9
A retail investor owns shares of Mutual Fund ABC that paid a $0.25 dividend on September 1 and closed at
$10.00. What is the opening price once this fund trades on the ex-dividend date?
$10.00. What is the opening price once this fund trades on the ex-dividend date?
正確答案: A
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問題10
When the index level and strike price of a listed index option are the same, the option is:
正確答案: B
說明：（僅 VCESoft 成員可見）
問題11
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?
正確答案: D
說明：（僅 VCESoft 成員可見）
問題12
A registered representative (RR) owns 500 shares of a thinly traded security. A customer of the firm calls the RR to place a sell order for 10,000 shares of the same security. The RR sells his shares before entering the customer ' s order to sell. Which of the following activities has the RR just engaged in?
正確答案: C
說明：（僅 VCESoft 成員可見）
問題13
A registered representative (RR) reads an article online about a thinly traded security that the RR believes has a high likelihood of rapid growth and price appreciation. The RR purchases shares of the security in their own account and recommends to a number of high net worth customers that they purchase shares as well. After the RR ' s customers make several purchases of the security, the price appreciates, as the RR expected. The RR liquidates their position for a profit and subsequently recommends to customers that they do the same thing.
Which of the following statements is true regarding this scenario?
Which of the following statements is true regarding this scenario?
正確答案: D
說明：（僅 VCESoft 成員可見）
問題14
Comparative performance statistics of competing mutual funds are available through which of the following sources?
正確答案: C
說明：（僅 VCESoft 成員可見）
