SIE權威認證 - SIE考題免費下載

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讓SIE權威認證幫助您通過Securities Industry Essentials Exam (SIE)考試

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FINRA SIE 考試大綱：

主題	簡介
主題 1	Regulatory Entities, Agencies, and Market Participants: This section of the exam measures the skills of Financial Regulatory Analysts and covers the structure, authority, and jurisdiction of key regulatory bodies overseeing financial markets. The SEC's role in enforcing securities regulations is assessed, along with the authority of self-regulatory organizations such as FINRA and MSRB. Candidates must also understand the functions of other financial regulators, including the Department of the Treasury and state regulatory agencies. One key skill evaluated is identifying the jurisdictional scope of different financial regulators.
主題 2	Understanding Products and Their Risks: This section of the exam measures the skills of Investment Analysts and examines different financial products and associated risks. Candidates must understand equity securities, including common stock, as well as debt instruments such as Treasury securities and mortgage-backed securities.
主題 3	Employee Conduct and Reportable Events: This section of the exam measures the skills of Financial Compliance Specialists and covers regulatory expectations regarding employee conduct and disclosure requirements. Candidates must be familiar with Form U4 and Form U5, as well as reporting obligations for outside business activities and political contributions.

最新的 General Securities Representative SIE 免費考試真題 (Q80-Q85):

問題 #80
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 under a bankruptcy proceeding.
B. Common stock and preferred stock are treated the same when it comes to payment of dividends.
C. Common stock is a lower priority compared to preferred stock under a bankruptcy proceeding.
D. Common stock dividend payment is treated as a higher priority over that of preferred stock.

答案：C

解題說明：
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.

問題 #81
Which of the following is a reportable obligation with respect to an individual's Form U4?

A. A speeding ticket
B. A change of residential address
C. A change of business telephone number
D. A gambling-related misdemeanor charge

答案：D

解題說明：
Step by Step Explanation:
* Form U4 Reporting Requirements: Registered persons must disclose criminal charges (excluding minor traffic violations) and material changes such as residential address changes. Gambling-related misdemeanors are considered reportable.
* Incorrect Options:
* Speeding Ticket: Typically not reportable unless it involves a felony.
* Business Telephone Number: Not material for Form U4.
References:
* FINRA Form U4 Instructions: FINRA Form U4.

問題 #82
Which of the following characteristics best describes a benefit of a variable annuity subaccount?

A. The account is held separately from the insurance company's general account and, therefore, is protected from the claims of general creditors of the insurance company.
B. The account represents the indebtedness of the insurance company that is subordinated to the claims of general creditors and, therefore, offers investors a higher rate of return.
C. The account is held at a broker-dealer that is separate from the insurance company, thereby allowing tax-deferred investments in all types of securities products.
D. The account is managed by a third-party custodian and is, therefore, subject to lower management fees than those charged by the insurance company.

答案：A

解題說明：
Variable annuity subaccounts are held in separate accounts, distinct from the insurance company's general account. This separation protects subaccount assets from claims by creditors in case the insurance company becomes insolvent.
* C is correctbecause the separate account ensures creditor protection.
* Ais incorrect as management fees for variable annuities are often higher.
* Bis incorrect because the subaccounts are not held at broker-dealers.
* Dis incorrect as subaccounts do not represent subordinated debt.

問題 #83
How long are unused funds permitted to remain in a Coverdell education savings account?

A. All funds must be distributed when the beneficiary's age reaches 30 years old.
B. All funds must be distributed when the beneficiary's age reaches 21 years old.
C. There is no age limit preventing funds from remaining in a beneficiary's account.
D. All funds must be distributed when the beneficiary's age reaches 59 ½ years old.

答案：A

解題說明：
Coverdell Education Savings Accounts (ESAs) require that all funds be distributed by the time the beneficiary reaches 30 years old. If the funds are not used for qualified educational expenses, they may be subject to taxes and penalties.
* B is correctbecause funds must be distributed by age 30 unless transferred to another eligible family member.
* Ais incorrect as age 21 is not relevant for Coverdell ESAs.
* Cis incorrect because age 59 ½ applies to retirement accounts like IRAs.
* Dis incorrect because there is a distribution deadline for Coverdell accounts.

問題 #84
Rising economic activity is most likely to increase revenues of which of the following sectors?

A. Consumer staples
B. Healthcare
C. Utilities
D. Consumer discretionary

答案：D

解題說明：
Step by Step Explanation:
* Consumer Discretionary Sector: Includes products and services that are not essential, such as luxury items, travel, and entertainment. Revenues increase as disposable income rises during economic expansion.
* Consumer Staples and Utilities: These sectors are defensive and less impacted by economic cycles.
* Healthcare: Also less correlated with economic cycles due to its essential nature.
References:
* SEC and FINRA Guidance on Sectors: Investopedia Sector Overview.

問題 #85
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SIE權威認證 - SIE考題免費下載

讓SIE權威認證幫助您通過Securities Industry Essentials Exam (SIE)考試

FINRA SIE 考試大綱：

最新的 General Securities Representative SIE 免費考試真題 (Q80-Q85):