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Exam (elaborations)

FINRA SIE Practice Exam Questions & Answers 100% Verified

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FINRA SIE Practice Exam Questions & Answers 100% Verified In a period of low inflation and economic recession, the Federal Reserve is expected to take which of the following actions? A) Decrease Taxes B) Require banks to increase reserve C) Buy bonds in the open market - Correct Answer-...

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  • August 25, 2024
  • 39
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers
  • FINRA
  • FINRA
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TheeGrades
FINRA SIE Practice Exam Questions & Answers
100% Verified
In a period of low inflation and economic recession, the Federal Reserve is

expected to take


which of the following actions?


A) Decrease Taxes


B) Require banks to increase reserve


C) Buy bonds in the open market - Correct Answer-Buy bonds in the open

market


Under FINRA rules which of the following activities by a registered

representative requires


written notification to her firm?


A) Gambling resulting in winnings in excess of $10,000


B) Driving part time for a transportation network company on weekends


C) Selling non proprietary investment company securities through her firm -

Correct AnswerDriving part time for a transportation network company on

weekends

,FINRA SIE Practice Exam Questions & Answers
100% Verified
FinCEN accomplishes its mission to safeguard the financial system from the

abuses of financial


crime, including terrorist financing and money laundering, by enforcing.


A) SEC regulations


B) The Bank Secrecy Act


C) The Securities Act of 1933


D) The investment Company Act of 1940 - Correct Answer-The Bank Secrecy Act


Call protection is most valuable to a bond owner when bond prices are

generally.


A) Rising

B) Falling


C) Stable


D) Fluctuating - Correct Answer-Rising


The owner of which of the following products is most exposed to inflationary

risk?

,FINRA SIE Practice Exam Questions & Answers
100% Verified
A) Utility Stocks


B) Treasury Bills


C) Treasury bonds


D) Blue chip industrials - Correct Answer-Treasury Bonds


Which of the following outcomes are possible for the writer of a covered call

option?


A) Profit limited and loss limited


B) Profit limited and loss unlimited

C) Profit unlimited and loss limited


D) Profit unlimited and loss unlimited - Correct Answer-Profit limited and loss

limited


Under SEC regulation S-P(Consumer Privacy) which of the following information

must a firm


include in its customer privacy and opt-out notices?


A) The address of the firms website

, FINRA SIE Practice Exam Questions & Answers
100% Verified
B) The fee to opt out from the privacy program


C) The deadline by which to opt out from the privacy program


D) The policies to protect the security of nonpublic information - Correct

Answer-The policies to


protect the security of nonpublic information


The last transaction in XYZ 5.50's 2030 was at 102. This bond is selling at:


A) Par


B) A premium

C) A discount


D) asset value - Correct Answer-A premium


Broker-Dealer ABC seeks to underwrite a municipal securities offering by a local

town in which


the mayor is currently seeking re-election. A municipal finance professional who

resides in the

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