SIE인기자격증시험대비공부자료덤프는Securities Industry Essentials Exam (SIE)시험의높은적중율을자랑

불과 1,2년전만 해도 FINRA SIE덤프를 결제하시면 수동으로 메일로 보내드리기에 공휴일에 결제하시면 덤프를 보내드릴수 없어 고객님께 페를 끼쳐드렸습니다. 하지만 지금은 시스템이 업그레이드되어FINRA SIE덤프를 결제하시면 바로 사이트에서 다운받을수 있습니다. Pass4Test는 가면갈수록 고객님께 편리를 드릴수 있도록 나날이 완벽해질것입니다.

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>> SIE인기자격증 시험대비 공부자료 <<

SIE인기자격증 시험대비 공부자료 최신 인기시험 기출문제자료

우리Pass4Test 사이트에FINRA SIE관련자료의 일부 문제와 답 등 문제들을 제공함으로 여러분은 무료로 다운받아 체험해보실 수 있습니다. 여러분은 이것이야 말로 알맞춤이고, 전면적인 여러분이 지금까지 갖고 싶었던 문제집이라는 것을 느끼게 됩니다.

최신 General Securities Representative SIE 무료샘플문제 (Q21-Q26):

질문 # 21
A registered representative must complete which of the following activities when entering a discretionary trade?

A. Only exercise discretion over market orders
B. Receive instructions from the customer as to the price at which to buy or sell a security
C. Obtain authorization from the customer before each discretionary order is entered
D. Indicate that discretion was exercised on the order ticket to be identified for supervisory review

정답：D

설명：
FINRA Rule 3260 requires that discretionary trades be approved by the customer in writing and reviewed by the supervising firm. The order ticket must indicate that discretion was exercised to ensure proper oversight.
* B is correctbecause marking the order ticket ensures compliance with supervisory requirements.
* Ais incorrect because discretionary authority is not limited to market orders.
* Cis incorrect as discretionary trades do not require pre-approval for each trade but require prior written authorization.
* Dis incorrect because discretionary authority allows the RR to decide on price and timing without specific customer instructions.

질문 # 22
An associated person at a member firm receives a complaint from a customer involving allegations of forgery.
Once the complaint is received, which of the following actions is required?

A. The member firm must have a principal review the complaint and determine if the forgery occurred before filing a report with FINRA.
B. The member firm must complete arbitration to resolve the complaint with the customer before filing a report with FINRA.
C. The member firm is not required to report the event to FINRA but must maintain a file of the complaint for four years.
D. The member firm must report the event promptly to FINRA.

정답：D

설명：
Step by Step Explanation:
* FINRA Rule 4530: Requires member firms to report certain events, including allegations of forgery, to FINRA promptly.
* Incorrect Options:
* Option B: Maintaining a record does not substitute for required reporting.
* Option C: Arbitration isn't required before reporting.
* Option D: Reporting is mandatory irrespective of internal investigations.
References:
* FINRA Rule 4530 (Reporting Requirements): FINRA Rule 4530.

질문 # 23
A customer purchases 100 shares of stock on Thursday, August 2. This transaction must settle regular way no later than:

A. Tuesday, August 7
B. Friday, August 3
C. Wednesday, August 8
D. Monday, August 6

정답：D

설명：
Step by Step Explanation:
* Regular-Way Settlement: For equity securities, settlement occurs on a T+2 basis, meaning two business days after the trade date.
* Calculation:
* Trade Date (T): Thursday, August 2.
* T+2 Settlement: Excludes weekends, so settlement falls on Monday, August 6.
* Incorrect Options:
* A: Reflects T+1, not the correct settlement cycle.
* C & D: Extend beyond the standard T+2 cycle.
References:
* FINRA and SEC Settlement Rules: SEC Settlement Rules.

질문 # 24
At a prospecting event, a registered representative (RR) provides cards for attendees to write down their contact information if they want to have a follow-up meeting with her. Which of the following actions should the RR take in this situation to comply with telemarketing rules?

A. Limit contact with prospects to between 9 a.m. and 9 p.m.
B. Obtain the broker-dealer's approval before making a call
C. Prior to contacting the prospects, check all of the names on the cards to make sure they are not on the National Do Not Call Registry
D. Contact the prospects at will since they provided express written consent

정답：C

설명：
Step by Step Explanation:
* Telemarketing Rules (FINRA Rule 3230): Require firms to check the National Do Not Call Registry before contacting individuals, even if those individuals provide their contact information voluntarily.
* Incorrect Options:
* A: Approval isn't required for individual follow-ups; compliance with the registry is.
* B: While calls must be limited to appropriate hours, the registry check is still mandatory.
* C: Written consent does not override the registry requirement.
References:
* FINRA Rule 3230 (Telemarketing): FINRA Rule 3230.

질문 # 25
Which of the following statements describes a characteristic of Treasury securities?

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

정답：D

설명：
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.

질문 # 26
......

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묵호와 효우도 곧장 그의 뒤를 따랐다, 예원은 그제야, 그가 오늘따라 평소와는 너무 다른 이유를 비로소 알아챌 수 있었다, 온라인버전: 휴대폰에서 사용가능한 APP버전으로서 사용하기 가장 편한 버전입니다, 많은 분들은FINRA인증SIE시험패스로 자기 일에서 생활에서 한층 업그레이드 되기를 바랍니다.

SIE인기자격증 시험대비 공부자료 100％시험패스 인증덤프문제

발달한 네트웨크 시대에 인터넷에 검색하면 수많은 SIE 덤프자료가 검색되어 어느 자료로 시험준비를 해야할지 많이 망설이게 될것입니다, FINRA SIE덤프를 구매하려면 먼저FINRA SIE샘플문제를 다운받아 덤프품질을 검증후 주문하시면 믿음이 생길것입니다.

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