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Authorized FINRA SIE Pdf - SIE Valid Braindumps Questions

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q154-Q159):

NEW QUESTION # 154
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 issue stock to replace the bonds.
B. The company will retire one debt with the proceeds from another issue.
C. The company will buy back the bonds, at a discount, from the bondholders.
D. The company will establish a sinking fund for use in making regular open-market purchases of the bonds.

Answer: B

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 # 155
An investor holds 1,000 shares of a stock with a total cost basis of $5,000 in his account when a 1-for-5 reverse stock split is announced. What will be the investor's total cost basis after the payable date of the reverse split?

A. $2,500
B. $1,000
C. $25,000
D. $5,000

Answer: D

Explanation:
Step by Step Explanation:
* Cost Basis in Reverse Split: The total cost basis remains unchanged in a reverse stock split. Only the number of shares and price per share adjust.
* Pre-Split: 1,000 shares at $5 each = $5,000.
* Post-Split: 200 shares at $25 each = $5,000.
* Incorrect Options:
* A, B, and D: Do not reflect the unchanged total cost basis.
References:
* IRS Guidance on Stock Splits: IRS Stock Split Info.

NEW QUESTION # 156
On settlement date, a customer is unable to pay for a purchase in his cash account. His position is liquidated.
Which of the following statements is true according to Federal Reserve Regulation T?

A. The customer is barred from trading for 30 days.
B. Only closing transactions are permitted.
C. The customer's account is frozen for 90 days.
D. All related accounts are frozen for 90 days.

Answer: C

Explanation:
Federal Reserve Regulation T mandates that customers must pay for purchases in a cash account within two business days of settlement (T+4). If payment is not made, the brokerage firm must liquidate the securities and place the account on a 90-day restriction.
* C is correctbecause the customer's account is frozen for 90 days, during which all trades must be paid for in advance.
* Ais incorrect as closing transactions are still permitted but require prepayment.
* Bis incorrect because the restriction lasts for 90 days, not 30.
* Dis incorrect as only the delinquent account, not related accounts, is frozen.

NEW QUESTION # 157
A hypothecation agreement gives the broker-dealer the right to engage in which of the following activities?

A. Selling a customer's securities when the customer has failed to pay for trades in a cash account
B. Using securities that a customer has bought on margin as collateral to obtain a loan from a bank
C. Entering trades in a customer's account without prior authorization from the customer
D. Sharing customers' nonpublic personal information with nonaffiliated third parties

Answer: B

Explanation:
Step by Step Explanation:
* Hypothecation Agreement: Required for margin accounts, it authorizes the broker-dealer to use the customer's margin securities as collateral to secure loans for funding customer transactions.
* Incorrect Options:
* A: Sharing customer information is regulated under privacy rules (Regulation S-P).
* B: Unauthorized trading violates securities laws.
* C: Selling unpaid securities in cash accounts pertains to Regulation T, not hypothecation agreements.
References:
* FINRA Margin Account Rules: FINRA Rule 4210.

NEW QUESTION # 158
Which of the following listed securities carries voting rights?

A. Preferred stock
B. Common stock
C. Corporate bond
D. Convertible bond

Answer: B

Explanation:
Step by Step Explanation:
* Common Stock: Holders of common stock typically have voting rights, which allow them to participate in decisions like electing the board of directors or approving major corporate actions.
* Other Securities:
* Preferred Stock: Usually does not carry voting rights.
* Corporate and Convertible Bonds: Debt instruments, so they do not confer voting rights.
References:
* SEC Guide on Stock Voting Rights: SEC Voting Rights.

NEW QUESTION # 159
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