SIE Dumps Vce - Valid SIE Test Question

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q17-Q22):

NEW QUESTION # 17
A registered representative (RR) at a member firm is the subject of a statutory disqualification. Which of the following statements is true?

A. A statutory disqualification, although reportable to CRD, does not affect employment in the securities industry.
B. The RR is prohibited from any association or employment with a member firm unless he obtains a waiver.
C. The RR is prohibited from employment by a member firm in any registered capacity but is permitted to be employed in an unregistered capacity.
D. The RR is prohibited from soliciting business but is permitted to accept unsolicited orders.

Answer: B

Explanation:
A statutory disqualification occurs if an RR has been convicted of certain crimes, violated securities laws, or been barred by a regulatory authority. Under FINRA rules, the RR cannot associate with a member firm in any capacity unless they obtain a waiver from FINRA.
* B is correctbecause the disqualified person must obtain a waiver to continue employment.
* AandCare incorrect because the RR is not allowed to associate with the firm in any capacity without a waiver.
* Dis incorrect because statutory disqualification directly affects the RR's employment status.

NEW QUESTION # 18
A registered representative must complete which of the following activities when entering a discretionary trade?

A. Obtain authorization from the customer before each discretionary order is entered
B. Only exercise discretion over market orders
C. Indicate that discretion was exercised on the order ticket to be identified for supervisory review
D. Receive instructions from the customer as to the price at which to buy or sell a security

Answer: C

Explanation:
FINRA Rule 3260 requires that discretionary trades be approved by the customer in writing and reviewed by the supervising firm. The order ticket must indicate that discretion was exercised to ensure proper oversight.
* B is correctbecause marking the order ticket ensures compliance with supervisory requirements.
* Ais incorrect because discretionary authority is not limited to market orders.
* Cis incorrect as discretionary trades do not require pre-approval for each trade but require prior written authorization.
* Dis incorrect because discretionary authority allows the RR to decide on price and timing without specific customer instructions.

NEW QUESTION # 19
A city has appointed Broker-dealer XYZ to act as lead underwriter for its upcoming issuance of municipal bonds. This is an example of which of the following types of offering?

A. A negotiated offering
B. A best-efforts offering
C. A follow-on offering
D. A competitive offering

Answer: A

Explanation:
Step by Step Explanation:
* Negotiated Offering: Occurs when the issuer directly selects an underwriter and negotiates terms.
Common in municipal bond issuances.
* Incorrect Options:
* A: Follow-on offerings apply to subsequent issuances of equity securities.
* C: Competitive offerings involve multiple underwriters submitting bids.
* D: Best-efforts offerings do not guarantee the sale of all securities.
References:
* MSRB Overview of Municipal Offerings: MSRB Offerings.

NEW QUESTION # 20
A registered representative (RR) has a referral relationship with a family friend who is not affiliated with the financial industry. In the absence of a formal agreement, which of the following ways is the RR permitted to compensate the family friend for referrals?

A. The RR is permitted to split commissions with the family friend.
B. The RR is permitted to pay a flat-rate referral fee to the family friend.
C. The RR is permitted to take the family friend out to dinner as a way to say thank you.
D. The RR is permitted to give the family friend prepaid credit cards equal to 50% of the commissions earned on the referrals.

Answer: C

Explanation:
FINRA prohibits the payment of referral fees or splitting of commissions with individuals who are not registered with a broker-dealer. However, taking a friend out to dinner as a gesture of gratitude is allowed, as it does not involve cash or monetary compensation directly tied to the referral.
* C is correctbecause non-monetary expressions of gratitude (like a dinner) are permitted under FINRA rules.
* Ais incorrect because commission splitting with unregistered individuals is prohibited.
* Bis incorrect because paying referral fees is also prohibited without registration.
* Dis incorrect because giving prepaid credit cards tied to commission income violates compensation rules.

NEW QUESTION # 21
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 buy order for 2,000 shares at $39.15
B. A sell stop order for 500 shares at $39.00
C. A sell order for 300 shares at $39.05
D. A buy order for 1,000 shares at $39.10

Answer: A

NEW QUESTION # 22
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SIE Dumps Vce - Valid SIE Test Question

Valid SIE Test Question | Latest SIE Test Dumps

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q17-Q22):

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