2025 HIGH PASS-RATE SIE: SECURITIES INDUSTRY ESSENTIALS EXAM (SIE) EXAM

2025 High Pass-Rate SIE: Securities Industry Essentials Exam (SIE) Exam

2025 High Pass-Rate SIE: Securities Industry Essentials Exam (SIE) Exam

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q141-Q146):

NEW QUESTION # 141
A customer purchased $80,000 of Fund XYZ two years ago. He now wants to buy $50,000 of Fund LMN offered within the same fund family, which offers a $100,000 breakpoint under right of accumulation. Which of the following statements is true?

  • A. The additional investment qualifies for a $100,000 breakpoint.
  • B. The customer must sign a new letter of intent to receive the $100,000 breakpoint on the additional purchase.
  • C. The customer will receive a sales charge discount on his next purchase after the account balance of the fund reaches $100,000.
  • D. Each fund requires contributions of $100,000 to qualify for a breakpoint.

Answer: A

Explanation:
Step by Step Explanation:
* Right of Accumulation: Allows an investor to combine the value of existing investments within the same fund family to qualify for a breakpoint (reduced sales charge) on new purchases.
* Current Holdings: $80,000
* New Purchase: $50,000
* Total: $130,000, qualifying for the $100,000 breakpoint.
* Incorrect Options:
* B: Contributions from all funds within the same family can be aggregated.
* C: A new letter of intent is unnecessary; right of accumulation applies automatically.
* D: Discounts apply immediately, not retroactively.
References:
* FINRA Guidance on Breakpoints: FINRA Breakpoints.


NEW QUESTION # 142
Which of the following transactions is most profitable if executed prior to a significant rise in a company's stock price?

  • A. Selling a call option
  • B. Selling a put option
  • C. Buying a put option
  • D. Buying a call option

Answer: D

Explanation:
Buying a call option gives the investor the right to purchase the stock at a fixed price (strike price). If the stock's price rises significantly, the value of the call option increases, allowing the investor to profit.
* B is correctbecause a call option profits directly from a stock price increase.
* Ais incorrect because a put option profits from a stock price decline.
* CandDare incorrect because selling options limits profit potential and exposes the seller to significant risk if the stock moves unfavorably.


NEW QUESTION # 143
Which of the following statements best describes a characteristic of 529 savings plan accounts?

  • A. Earnings are taxed to the donor at the time of a qualified withdrawal.
  • B. The number of contributors to the account is limited.
  • C. Using funds for undergraduate or graduate studies is permissible.
  • D. There are no contribution limits to the account.

Answer: C

Explanation:
Step by Step Explanation:
* 529 Savings Plans: These plans allow tax-advantaged savings for education expenses. They can be used for both undergraduate and graduate studies, as well as certain K-12 expenses.
* Contribution Limits: Contributions are subject to gift tax limits but have no specific statutory maximum under federal law.
* Tax Treatment: Earnings grow tax-deferred and are tax-free if used for qualified education expenses.
References:
* IRS Section 529 Guidance: IRS 529 Plans.


NEW QUESTION # 144
Which of the following is not a pass-through entity for tax purposes?

  • A. A limited liability company (LLC)
  • B. A C corporation
  • C. An S corporation
  • D. A real estate investment trust (REIT)

Answer: B

Explanation:
A pass-through entity does not pay corporate income taxes; instead, income is passed to owners, who report it on their individual tax returns.
* A is correctbecause C corporations are not pass-through entities; they pay corporate taxes.
* B,C, andDare all pass-through entities for tax purposes.


NEW QUESTION # 145
A confirmation indicates a 100-share purchase of Company ABC at $11. According to SEC rules, which of the following information is required to be stated on the confirmation?

  • A. The firm's inventory level at the time of trade execution
  • B. That the firm did not act as a market maker in the security
  • C. The capacity in which the firm acted when executing the trade
  • D. The firm's cost basis in the security

Answer: C

Explanation:
Step by Step Explanation:
* SEC Rule 10b-10: Requires trade confirmations to disclose the capacity in which the firm acted (e.g., as agent or principal) and details like trade price, quantity, and commissions.
* Incorrect Options:
* A: Cost basis is not disclosed on trade confirmations.
* B: Inventory levels are not part of the required disclosures.
* C: Market maker status is not explicitly required in the confirmation.
References:
* SEC Rule 10b-10 (Confirmation Requirements): SEC Rule 10b-10.


NEW QUESTION # 146
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