HOW CAN YOU PASS THE FINRA SIE EXAM?

How Can You Pass The FINRA SIE Exam?

How Can You Pass The FINRA SIE Exam?

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q67-Q72):

NEW QUESTION # 67
Under FINRA rules, which of the following activities is not considered an outside business activity (OBA)?

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

Answer: A

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 # 68
Which of the following statements characterizes the typical relationship between the market value of a municipal bond portfolio and interest rates?

  • A. As the market value goes up, interest rates stay constant.
  • B. As interest rates decrease, the market value goes up.
  • C. As interest rates increase, the market value goes up.
  • D. As the market value goes down, interest rates decrease.

Answer: B

Explanation:
Step by Step Explanation:
* Inverse Relationship: Bond prices and interest rates have an inverse relationship. When interest rates fall, existing bonds with higher coupon rates become more valuable, leading to an increase in market value.
* Incorrect Options:
* A: Market value decreases as interest rates increase.
* C: Interest rates and bond values move inversely, not in the same direction.
* D: Interest rates are not constant; they fluctuate over time.
References:
* SEC Municipal Bonds Overview: SEC Municipal Bonds.


NEW QUESTION # 69
Publicly traded limited partnership interests are typically considered:

  • A. Derivative investments
  • B. Equity securities
  • C. Mutual funds
  • D. Fixed-income securities

Answer: B

Explanation:
Step by Step Explanation:
* Publicly Traded Limited Partnerships (PTPs): Represent ownership stakes, which categorize them as equity securities. PTPs often involve sectors like real estate or energy.
* Incorrect Options:
* A: Mutual funds are pooled investment vehicles, not partnerships.
* C: Fixed-income securities are debt instruments like bonds.
* D: Derivatives include options or futures, not ownership stakes.
References:
* SEC Guidance on Publicly Traded Partnerships: SEC PTPs.


NEW QUESTION # 70
Which of the following terms describes failure to honor a firm quote?

  • A. Market manipulation
  • B. Interpositioning
  • C. Freeriding
  • D. Backing away

Answer: D

Explanation:
Step by Step Explanation:
* Backing Away: Refers to the failure of a market maker to honor a firm quote when a customer attempts to trade at that price. It is a violation of market rules.
* Incorrect Options:
* Freeriding: Involves selling securities before paying for them in a cash account.
* Interpositioning: Involves unnecessary intermediaries in trades, which can harm customers.
* Market Manipulation: Covers a range of deceptive practices, such as wash trading or spoofing, not specific to honoring quotes.
References:
* FINRA Rule 5220 (Firm Quote Rule): FINRA Rule 5220.


NEW QUESTION # 71
Which of the following statements best describes the permissibility of a borrowing arrangement between a registered representative (RR) and a customer who is also the RR's grandfather?

  • A. It is permissible provided that the loan was made in accordance with the firm's policies.
  • B. It is permissible if the loan was made on commercially reasonable terms.
  • C. It is permissible if the grandfather agrees in writing.
  • D. It is permissible subject to FINRA approval.

Answer: A

Explanation:
Step by Step Explanation:
* FINRA Rule 3240: Permits borrowing or lending arrangements between RRs and customers under specific conditions, including familial relationships, provided the arrangement complies with the firm's policies.
* Incorrect Options:
* A: FINRA approval is not required; firm approval is.
* B: A written agreement alone is insufficient without firm approval.
* C: Commercially reasonable terms are not the sole criterion for permissibility.
References:
* FINRA Rule 3240 (Borrowing from or Lending to Customers): FINRA Rule 3240.


NEW QUESTION # 72
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