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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q111-Q116):

NEW QUESTION # 111
Which of the following responses best characterizes a money market mutual fund?

A. Its yield always exceeds a savings account rate.
B. Its price is fixed at $1 per share.
C. It pays a fixed rate of return.
D. Its underlying investments are short term.

Answer: D

Explanation:
Money market mutual funds invest in highly liquid, short-term debt instruments, such as Treasury bills, commercial paper, and certificates of deposit. While the funds aim to maintain a stable $1 NAV, this is not guaranteed.
* C is correctbecause the fund's investments are short term.
* Ais incorrect because the rate of return is not fixed; it varies with market interest rates.
* Bis incorrect because while the fund tries to maintain a $1 NAV, it is not guaranteed.
* Dis incorrect because yields do not always exceed those of savings accounts.

NEW QUESTION # 112
A municipal securities dealer makes a political contribution of $990 to a local mayoral candidate. At the end of the quarter, to whom, if anyone, must the dealer report the contribution?

A. No disclosure required as the amount is below the reporting threshold
B. SEC
C. FINRA
D. MSRB

Answer: D

Explanation:
Step by Step Explanation:
* MSRB Rule G-37: Requires municipal securities dealers to report contributions to the MSRB, even if the amount is below the $1,000 threshold that would trigger a two-year prohibition on municipal business.
* Incorrect Options:
* SEC and FINRA: Not involved in reporting political contributions for municipal securities.
References:
* MSRB Rule G-37 (Political Contributions): MSRB Rule G-37.

NEW QUESTION # 113
A broker-dealer (BD) creates a marketing postcard that includes a statement regarding FINRA's endorsement of the BD. Which of the following responses is true?

A. The statement is permissible if a principal of the BD approves it in writing prior to use.
B. The statement regarding FINRA's endorsement is not permissible.
C. The statement is permissible if the statement is approved in writing by FINRA prior to use.
D. The statement is permissible if the postcard does not discuss specific investment opportunities.

Answer: B

Explanation:
Step by Step Explanation:
* FINRA Rule 2210: Firms are prohibited from suggesting or implying FINRA's endorsement or approval in any advertising materials.
* Approvals: Even if a principal or FINRA approves the content, such a statement remains impermissible.
* Key Point: FINRA's role is to regulate, not to endorse firms or their marketing.
References:
* FINRA Rule 2210 (Communications with the Public): FINRA Rule 2210.

NEW QUESTION # 114
According to FINRA rules, under which of the following circumstances, if any, is a member firm permitted to send gifts to a registered representative of another member firm?

A. When no single gift exceeds $100 in value and the maximum value of all gifts per year equals $250
B. When the value of all gifts during a period of one year does not exceed $100
C. Under no circumstances
D. When no single gift exceeds $100 and there is no limit on the number of gifts

Answer: B

Explanation:
Step by Step Explanation:
* FINRA Rule 3220: This rule limits gifts to $100 per person annually to prevent conflicts of interest.
* Aggregate Limit: There is no provision for exceeding the $100 annual limit, regardless of the number of gifts.
* Purpose: The rule ensures that gifts do not influence decisions or create unethical relationships.
References:
* FINRA Rule 3220 (Influencing or Rewarding Employees of Others): FINRA Rule 3220.

NEW QUESTION # 115
Corporate bonds unsecured by any pledge of property are called:

A. Debentures
B. Trust certificates
C. General obligation (GO) bonds
D. Collateral trust bonds

Answer: A

Explanation:
Step by Step Explanation:
* Debentures: Corporate bonds not backed by physical assets or collateral. They rely on the issuer's creditworthiness.
* Incorrect Options:
* B: Trust certificates are a legacy term for bonds backed by a trust.
* C: Collateral trust bonds are secured by financial assets.
* D: GO bonds are issued by municipalities, not corporations.
References:
* SEC Guide on Corporate Bonds: SEC Corporate Bonds.

NEW QUESTION # 116
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Excellent SIE Exam Practice for Real Exam

SIE Official Practice Test | SIE Latest Exam Price

FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q111-Q116):

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