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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q118-Q123):

NEW QUESTION # 118
If an investor is bullish on ABC, which of the following actions will he most likely take?

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

Answer: C

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 # 119
When exercised, an option written on which of the following items must be settled in cash?

A. Exchange-traded funds (ETFs)
B. Preferred stock
C. Equity index
D. Master limited partnership

Answer: C

Explanation:
Step by Step Explanation:
* Equity Index Options: These are cash-settled because the underlying asset is not a physical security but a theoretical value representing the index.
* Incorrect Options:
* Preferred Stock, Master Limited Partnerships, and ETFs: These involve physical delivery of the underlying asset upon exercise.
References:
* Options Clearing Corporation (OCC) Guidelines: OCC Cash-Settled Options.

NEW QUESTION # 120
Which of the following activities is permitted during the cooling-off period of an initial public offering (IPO)?

A. Conduct sales to public investors
B. Deliver securities to purchasers
C. Distribute final prospectus
D. Market the new security to potential investors

Answer: D

Explanation:
The cooling-off period begins after the registration statement is filed with the SEC and lasts for at least 20 days. During this time, the issuer and underwriters can market the securities but cannot finalize sales.
* D is correctbecause marketing (e.g., roadshows) is permitted during the cooling-off period.
* Ais incorrect because the final prospectus is distributed after the offering is effective.
* BandCare incorrect because sales and deliveries are prohibited until the registration becomes effective.

NEW QUESTION # 121
Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities, which of the following conditions must be met?

A. The shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.
B. The issuer must notify FINRA of the proposed sale by submitting a Form 144.
C. The affiliate must have a holding period of six months.
D. The company must be traded on a listed stock exchange.

Answer: C

Explanation:
Step by Step Explanation:
* Rule 144 Holding Period: Restricted securities held by affiliates require a six-month holding period before sale, provided the issuer is subject to SEC reporting requirements.
* Other Options:
* Notification to FINRA (C) is incorrect; Form 144 is submitted to the SEC, not FINRA.
* The 10% ADTV limitation (D) applies to the volume of shares sold, not the conditions for sale.
References:
* SEC Rule 144 (Selling Restricted Securities): SEC Rule 144.

NEW QUESTION # 122
Which of the following statements concerning nonqualified deferred compensation plans is true?

A. They are governed by ERISA rules.
B. The deferred compensation must be held in escrow at a bank.
C. A failure of the business could lead to nonpayment of the deferred compensation.
D. Such plans must be reviewed with the IRS.

Answer: C

Explanation:
Nonqualified deferred compensation (NQDC) plans allow employees to defer income until a future date.
* D is correctbecause NQDC funds remain part of the company's general assets, which creditors may claim if the company goes bankrupt.
* Ais incorrect as NQDC plans are not subject to ERISA rules.
* Bis incorrect because these plans do not require IRS review.
* Cis incorrect as NQDC assets are not required to be held in escrow.

NEW QUESTION # 123
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