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SIE Valid Braindumps & Valid SIE Test Syllabus

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q124-Q129):

NEW QUESTION # 124
The formation of an asset-backed security or debt obligation that represents a claim on the cash flows from mortgage loans is known as:

A. Hypothecation
B. Securitization
C. Claim processing
D. Loan processing

Answer: B

Explanation:
Step by Step Explanation:
* Securitization: The process of pooling financial assets, such as mortgage loans, and creating asset- backed securities that investors can buy.
* Incorrect Options:
* B: Hypothecation refers to pledging assets as collateral.
* C & D: Loan and claim processing are administrative terms, not related to the creation of securities.
References:
* SEC Guidance on Asset-Backed Securities: SEC ABS Info.

NEW QUESTION # 125
Under FINRA rules, which of the following activities is not considered an outside business activity (OBA)?

A. Selling health insurance
B. Professionally refereeing athletic events
C. Selling real estate
D. Passively investing in a multifamily house for rental purposes

Answer: D

Explanation:
Step by Step Explanation:
* Outside Business Activity Definition: Per FINRA Rule 3270, an OBA involves compensated business activities outside the scope of the RR's role at their firm. Passive investments are excluded because they do not require active involvement.
* Incorrect Options:
* A, B, and C: Selling real estate, selling insurance, and refereeing are considered OBAs as they involve active participation and compensation.
References:
* FINRA Rule 3270 (Outside Business Activities): FINRA Rule 3270.

NEW QUESTION # 126
For a customer thinking about purchasing a high-income bond mutual fund, which of the following is considered the primary risk of the underlying securities in the portfolio?

A. Political risk
B. Taxability risk
C. Credit risk
D. Purchasing power risk

Answer: C

Explanation:
High-income bond mutual funds typically invest in lower-rated (junk) bonds that offer higher yields. These bonds are exposed to significant credit risk, as issuers may default on their payments.
* A is correctbecause credit risk is the primary concern with high-yield bonds.
* Bis incorrect as political risk is more relevant for international investments.
* Cis incorrect because taxability risk is not specific to bond mutual funds.
* Dis incorrect because purchasing power risk is more relevant for fixed-income investments during inflationary periods but is not the primary risk here.

NEW QUESTION # 127
Under SEC Regulation D, which of the following parties is considered an accredited investor?

A. A charitable organization, partnership, or corporation whose assets exceed $2.5 million.
B. A person whose net worth, excluding the net equity in their primary residence, exceeds $1 million at the time of purchase.
C. A person whose joint income with their spouse exceeds $200,000 in each of the two most recent years and who has a reasonable expectation of reaching the same income level in the current year.
D. A person whose net worth, excluding the net equity in their primary residence, exceeds $500,000 at the time of purchase.

Answer: B

Explanation:
Step by Step Explanation:
* Definition of Accredited Investor: As per SEC Regulation D, Rule 501, an accredited investor includes:
* Individuals with a net worth exceeding $1 million (excluding primary residence equity).
* Individuals with an annual income exceeding $200,000 (or $300,000 jointly with a spouse) for the past two years.
* Elimination of Incorrect Answers:
* $500,000 threshold (option B) is too low to qualify under Regulation D.
* Option D is incorrect as it requires assets of $5 million, not $2.5 million.
References:
* SEC Regulation D, Rule 501 (Accredited Investor Definition): SEC Regulation D.

NEW QUESTION # 128
Which of the following entities issues certificates of deposit (CDs)?

A. Federal Reserve
B. Banks
C. Broker-dealers
D. FDIC

Answer: B

Explanation:
Certificates of Deposit (CDs) are time deposit accounts issued by banks, offering fixed interest rates for a specified term. CDs are insured by the FDIC up to $250,000 per depositor, but the issuing entity is the bank itself.
* B is correctbecause banks issue CDs.
* Ais incorrect because the FDIC insures CDs but does not issue them.
* Cis incorrect because broker-dealers may facilitate the purchase of CDs but do not issue them.
* Dis incorrect because the Federal Reserve does not issue CDs; it manages monetary policy.

NEW QUESTION # 129
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