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FINRA SIE Exam Dumps - Actual Questions Answers

FINRA SIE Last Week Results!

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FINRA SIE

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FINRA SIE Questions Answers

SIE Testimonials

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SIE Questions and Answers

Question # 1

Company XYZ is a U.S.-based provider of domestic utility services. XYZ's noncallable bonds pay a coupon rate of 5% and are currently yielding 9%. Market interest rates are currently 5.5%. An investor who purchases XYZ bonds is most exposed to which of the following risks?

A.

Credit risk

B.

Political risk

C.

Currency risk

D.

Prepayment risk

Question # 2

Pursuant to FINRA rules, which of the following content is inappropriate to link to from a business-related social media site?

A.

A link to the firm's website discussing its products and services

B.

A link to an investment's website stating the investment's performance over the next five years

C.

A link to information on a mutual fund that discusses previous performance over the last five years

D.

A link to a company's filing on EDGAR that contains information on a press release about the company

Question # 3

Which of the following statements is true of the writer of a listed equity call option?

A.

They have the right to sell stock at a fixed strike price.

B.

They have the right to buy stock at a fixed strike price.

C.

They have the obligation to sell stock at a fixed strike price.

D.

They have the obligation to buy stock at a fixed strike price.

FINRA Related Exam in MyExamCollection

The followings list FINRA Related in MyExamCollection, If you have other FINRA certifications you want added please contact us.

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    Investment Company and Variable Contracts Products Representative Qualification Examination (IR)
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    Uniform Securities State Law Examination