PASS GUARANTEED FINRA - SIE - PERFECT EXAM DUMPS SECURITIES INDUSTRY ESSENTIALS EXAM (SIE) COLLECTION

Pass Guaranteed FINRA - SIE - Perfect Exam Dumps Securities Industry Essentials Exam (SIE) Collection

Pass Guaranteed FINRA - SIE - Perfect Exam Dumps Securities Industry Essentials Exam (SIE) Collection

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Tags: Exam Dumps SIE Collection, Actual SIE Tests, SIE Valid Exam Cram, New SIE Exam Cram, Valid Braindumps SIE Sheet

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Actual FINRA SIE Tests - SIE Valid Exam Cram

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q65-Q70):

NEW QUESTION # 65
A real estate investment trust (REIT) is required to invest what percentage of total assets in real-estate-related assets to maintain favorable tax treatment?

  • A. At least 75% of total assets
  • B. At least 50% of total assets
  • C. At least 90% of total assets
  • D. 100% of assets

Answer: A

Explanation:
Step by Step Explanation:
* REIT Requirements: REITs must invest at least 75% of their total assets in real estate to qualify for favorable tax treatment under IRS regulations.
* 90% Rule: Refers to the distribution requirement for taxable income, not asset allocation.
* 100% Rule: There is no requirement to allocate 100% of assets to real estate.
References:
* IRS Publication 542 (Real Estate Investment Trusts): IRS REIT Guidelines.


NEW QUESTION # 66
A bond with a par value of $1,000 that is backed by the taxing power of a local government is known as:

  • A. A revenue bond
  • B. A general obligation (GO) bond
  • C. A Treasury bond
  • D. A corporate bond

Answer: B

Explanation:
Step by Step Explanation:
* General Obligation (GO) Bonds: Backed by the full faith and credit of the issuing municipality, relying on its taxing power for repayment.
* Revenue Bonds: Supported by revenues from a specific project or source.
* Treasury Bonds: Issued by the federal government.
* Corporate Bonds: Issued by corporations, not municipalities.
References:
* SEC Municipal Bond Guide: SEC GO Bonds.


NEW QUESTION # 67
Which of the following is a reportable obligation with respect to an individual's Form U4?

  • A. A speeding ticket
  • B. A gambling-related misdemeanor charge
  • C. A change of residential address
  • D. A change of business telephone number

Answer: B

Explanation:
Step by Step Explanation:
* Form U4 Reporting Requirements: Registered persons must disclose criminal charges (excluding minor traffic violations) and material changes such as residential address changes. Gambling-related misdemeanors are considered reportable.
* Incorrect Options:
* Speeding Ticket: Typically not reportable unless it involves a felony.
* Business Telephone Number: Not material for Form U4.
References:
* FINRA Form U4 Instructions: FINRA Form U4.


NEW QUESTION # 68
Which of the following entities settles broker-to-broker equity, listed corporate and municipal bond, and unit investment trust (UIT) transactions in the U.S. equities markets?

  • A. Federal Reserve
  • B. National Securities Clearing Corporation (NSCC)
  • C. FINRA
  • D. SEC

Answer: B

Explanation:
Step by Step Explanation:
* National Securities Clearing Corporation (NSCC): A subsidiary of the Depository Trust & Clearing Corporation (DTCC), the NSCC handles the clearance and settlement of broker-to-broker equity, corporate bond, municipal bond, and UIT transactions.
* Incorrect Options:
* A: The SEC oversees regulatory compliance but does not settle trades.
* B: FINRA is a self-regulatory organization, not a clearing entity.
* C: The Federal Reserve manages monetary policy and banking but is not involved in securities settlement.
References:
* DTCC Overview of NSCC: DTCC NSCC.


NEW QUESTION # 69
A municipal securities dealer makes a political contribution of $990 to a local mayoral candidate. At the end of the quarter, to whom, if anyone, must the dealer report the contribution?

  • A. MSRB
  • B. FINRA
  • C. SEC
  • D. No disclosure required as the amount is below the reporting threshold

Answer: A

Explanation:
Step by Step Explanation:
* MSRB Rule G-37: Requires municipal securities dealers to report contributions to the MSRB, even if the amount is below the $1,000 threshold that would trigger a two-year prohibition on municipal business.
* Incorrect Options:
* SEC and FINRA: Not involved in reporting political contributions for municipal securities.
References:
* MSRB Rule G-37 (Political Contributions): MSRB Rule G-37.


NEW QUESTION # 70
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