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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q31-Q36):

NEW QUESTION # 31
For a customer thinking about purchasing a high-income bond mutual fund, which of the following is considered the primary risk of the underlying securities in the portfolio?

A. Credit risk
B. Taxability risk
C. Purchasing power risk
D. Political risk

Answer: A

Explanation:
High-income bond mutual funds typically invest in lower-rated (junk) bonds that offer higher yields. These bonds are exposed to significant credit risk, as issuers may default on their payments.
* A is correctbecause credit risk is the primary concern with high-yield bonds.
* Bis incorrect as political risk is more relevant for international investments.
* Cis incorrect because taxability risk is not specific to bond mutual funds.
* Dis incorrect because purchasing power risk is more relevant for fixed-income investments during inflationary periods but is not the primary risk here.

NEW QUESTION # 32
Under the Investment Company Act of 1940, which of the following products are considered redeemable securities?

A. Short-term paper
B. Master limited partnerships
C. Shares of unit investment trusts (UITs) purchased through a public offering
D. Shares issued by a closed-end investment company

Answer: C

Explanation:
Redeemable securities are those that can be sold back to the issuer.
* D is correctbecause unit investment trusts (UITs) issue redeemable securities.
* Cis incorrect because closed-end fund shares are traded on secondary markets, not redeemable.
* AandBdo not meet the definition of redeemable securities.

NEW QUESTION # 33
If an investor is bullish on ABC, which of the following actions will he most likely take?

A. Buy ABC puts
B. Sell ABC stock short
C. Sell ABC calls
D. Buy ABC stock

Answer: D

Explanation:
Step by Step Explanation:
* Bullish Position: Buying ABC stock aligns with the expectation that the stock's price will rise, allowing the investor to profit.
* Incorrect Options:
* A: Buying puts is a bearish strategy.
* C: Selling calls benefits from stable or declining prices.
* D: Selling short is a bearish strategy anticipating a price drop.
References:
* FINRA Guidance on Market Strategies: FINRA Trading Basics.

NEW QUESTION # 34
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 a company's filing on EDGAR that contains information on a press release about the company
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 the firm's website discussing its products and services

Answer: B

Explanation:
Under FINRA Rule 2210, firms must avoid making predictions or projections of future investment performance.
* B is correctbecause it involves prohibited predictive statements.
* A,C, andDare acceptable under FINRA guidelines, as they do not involve prohibited content.

NEW QUESTION # 35
A registered representative (RR) at a member firm is the subject of a statutory disqualification. Which of the following statements is true?

A. The RR is prohibited from employment by a member firm in any registered capacity but is permitted to be employed in an unregistered capacity.
B. The RR is prohibited from any association or employment with a member firm unless he obtains a waiver.
C. The RR is prohibited from soliciting business but is permitted to accept unsolicited orders.
D. A statutory disqualification, although reportable to CRD, does not affect employment in the securities industry.

Answer: B

Explanation:
A statutory disqualification occurs if an RR has been convicted of certain crimes, violated securities laws, or been barred by a regulatory authority. Under FINRA rules, the RR cannot associate with a member firm in any capacity unless they obtain a waiver from FINRA.
* B is correctbecause the disqualified person must obtain a waiver to continue employment.
* AandCare incorrect because the RR is not allowed to associate with the firm in any capacity without a waiver.
* Dis incorrect because statutory disqualification directly affects the RR's employment status.

NEW QUESTION # 36
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