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SIE Exam Dumps : Securities Industry Essentials Exam (SIE)

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Securities Industry Essentials Exam (SIE) Questions and Answers

Question 1

Which of the following responses best describes the primary strategy that an investor uses when selling a covered call?

Options:

A.

Hedging

B.

Speculation

C.

Profit guarantee

D.

Income generation

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Question 2

A customer will be out of the country for the next two months on business and asks his firm to hold his mail until he returns. Which of the following statements is true regarding this request?

Options:

A.

The firm is prohibited from holding the customer's mail under FINRA rules due to the personal information contained.

B.

The firm must receive written instructions from the customer that include the time period for the requested mail hold.

C.

The firm is permitted to hold the mail as long as the registered representative (RR) complies with the customer's oral instructions.

D.

At the discretion of the RR, the firm is permitted to hold the customer's mail provided it takes reasonable actions to ensure no tampering occurs with this mail.

Question 3

A bond with a par value of $1,000 that is backed by the taxing power of a local government is known as:

Options:

A.

A revenue bond

B.

A Treasury bond

C.

A corporate bond

D.

A general obligation (GO) bond