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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q88-Q93):

NEW QUESTION # 88
Which of the following products is the most appropriate class of investments for a customer looking for income and capital gains?

A. A money market account
B. A growth stock
C. Treasury Separate Trading of Registered Interest and Principal of Securities (STRIPS)
D. A blue-chip stock mutual fund

Answer: D

Explanation:
Step by Step Explanation:
* Blue-Chip Stock Mutual Funds: Invest in large, established companies that typically provide stable dividend income and potential for capital appreciation.
* Incorrect Options:
* A: Growth stocks prioritize capital appreciation, not income.
* B: Money market accounts focus on safety and liquidity, not capital gains.
* D: STRIPS provide fixed income without capital gains potential.
References:
* FINRA Investment Product Education: FINRA Investment Guidance.

NEW QUESTION # 89
Which of the following responses best describes how member firms are required to retain electronic correspondence and internal communications of associated persons?

A. In the firm's cloud storage
B. On the firm's server
C. In hard copy
D. In a non-rewriteable format

Answer: D

Explanation:
FINRA Rule 4511 requires member firms to retain records, including electronic communications, in anon- rewriteable, non-erasable format(often referred to as WORM: Write Once, Read Many). This ensures that records cannot be altered or deleted once stored.
* D is correctbecause firms must store records in a tamper-proof format.
* A,B, andCare incorrect because these formats do not guarantee compliance with the tamper-proof requirements set forth by FINRA and the SEC.

NEW QUESTION # 90
A customer owns 100 shares of ABC with a current market value of $5.00 per share. The company undergoes a 1-for-2 reverse split of the stock. Which of the following statements is true of the customer's holdings and the price of the stock?

A. The customer will have 200 shares at $2.50 per share.
B. The customer will have 100 shares at $5.00 per share.
C. The customer will have 1,000 shares at $0.50 per share.
D. The customer will have 50 shares at $10.00 per share.

Answer: D

Explanation:
Step by Step Explanation:
* Reverse Split Calculation: A 1-for-2 reverse split reduces the number of shares by half while doubling the price per share.
* Pre-Split Holdings: 100 shares at $5.00 = $500.
* Post-Split Holdings: 50 shares at $10.00 = $500.
* Incorrect Options: The total value remains unchanged; only the number of shares and price per share adjust.
References:
* FINRA Corporate Actions Guidance: FINRA Reverse Splits.

NEW QUESTION # 91
A market maker quotes the market on an NMS equity security as 39.05 - 39.15 [5x10]. Which of the following orders is the market maker required to fill?

A. A buy order for 2,000 shares at $39.15
B. A sell order for 300 shares at $39.05
C. A sell stop order for 500 shares at $39.00
D. A buy order for 1,000 shares at $39.10

Answer: A

NEW QUESTION # 92
A customer holds 1,000 shares of Company XYZ and wants to sell covered calls against this position. What is the maximum number of contracts that the customer could sell and still remain covered?

A. 1,000 contracts
B. 5 contracts
C. 10 contracts
D. 100 contracts

Answer: C

Explanation:
Each option contract represents 100 shares. A covered call involves selling a call option while holding an equivalent number of shares to deliver if the option is exercised.
* The customer owns 1,000 shares.
* Since 1 contract = 100 shares, the maximum number of contracts the customer can sell is:1,000 shares
÷ 100 shares/contract = 10 contracts.
* B is correctbecause selling 10 contracts corresponds to 1,000 shares, fully covering the position.

NEW QUESTION # 93
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