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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q98-Q103):

NEW QUESTION # 98
Which of the following statements describes a characteristic of Treasury securities?

A. They are liquid.
B. They are FDIC-insured.
C. They are issued by the U.S. government with a high amount of default risk.
D. They are callable.

Answer: A

Explanation:
Treasury securities are among the most liquid investments, as they are backed by the U.S. government and trade actively in large volumes.
* A is correctbecause Treasuries are highly liquid, making them easy to buy and sell.
* Bis incorrect because most Treasury securities are not callable.
* Cis incorrect because FDIC insurance applies to bank deposits, not Treasuries.
* Dis incorrect because U.S. government securities have negligible default risk.

NEW QUESTION # 99
If a company with a single outstanding bond issue chooses to extinguish this debt through refunding, which of the following actions will occur?

A. The company will retire one debt with the proceeds from another issue.
B. The company will establish a sinking fund for use in making regular open-market purchases of the bonds.
C. The company will buy back the bonds, at a discount, from the bondholders.
D. The company will issue stock to replace the bonds.

Answer: A

Explanation:
Refunding involves replacing existing debt with new debt, usually to take advantage of lower interest rates.
* B is correctbecause the company issues new bonds to pay off the existing debt.
* Ais incorrect as refunding involves issuing debt, not equity.
* Cis incorrect because the company is not obligated to buy back bonds at a discount.
* Dis incorrect because a sinking fund is used for gradual repayment, not refunding.

NEW QUESTION # 100
Offering 403(b) tax-sheltered annuity accounts to which of the following groups is permissible?

A. Volunteer workers
B. Active duty military personnel
C. Small business owners
D. Employees of a nonprofit hospital

Answer: D

NEW QUESTION # 101
A broker-dealer (BD) is underwriting an initial public offering (IPO). According to industry rules, which of the following customers is eligible to participate in the IPO?

A. The chief financial officer of a fast-food chain, whose brother is a registered representative employed by the BD
B. A customer of the BD who is the president of a local bank
C. An unregistered sales assistant employed by the BD
D. The BD's branch office manager's unemployed spouse

Answer: B

Explanation:
FINRA Rule 5130 restricts participation in IPOs for certain individuals (e.g., restricted persons) to prevent potential conflicts of interest. Restricted persons include employees of broker-dealers and their immediate family members.
* C is correctbecause the president of a local bank is not considered a restricted person under FINRA Rule 5130.
* Ais incorrect because employees (registered or not) of broker-dealers are restricted.
* Bis incorrect because immediate family members of broker-dealer employees are restricted,even if unemployed.
* Dis incorrect because the immediate family of a registered representative is restricted.

NEW QUESTION # 102
SEC Regulation S-P (Consumer Privacy) requires certain information to be included in privacy notices delivered to customers of broker-dealers (BDs). Which of the following information is required to be included in the privacy notice?

A. The website and telephone number of the Consumer Financial Protection Bureau (CFPB)
B. The name and telephone number of the BD's chief compliance officer
C. The website and telephone number of SIPC
D. The BD's policies and practices for protecting the customer's nonpublic personal information

Answer: D

Explanation:
Regulation S-P mandates that broker-dealers disclose how they collect, protect, and share customers' nonpublic personal information. The privacy notice must include:
* The categories of information collected.
* The firm's policies for safeguarding data.
* Opt-out rights for sharing information with unaffiliated third parties.
* D is correctbecause privacy notices must describe policies for protecting customer information.
* A,B, andCare incorrect because they do not relate to the required elements of Regulation S-P privacy notices.

NEW QUESTION # 103
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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q98-Q103):

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