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SIE Dumps With Exact Questions and Answers

Exact2pass Provides 100% Valid Securities Industry Essentials Exam (SIE) SIE Exam dumps Questions and answers which can helps you to Pass Your Certification Exam in First Attempt.

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SIE Questions and Answers

Question # 1

A registered representative (RR) opens a new account for a customer whose investment objectives are growth and income. She makes an initial deposit of $5,500 using a series of money orders drawn from different sources, and she makes no investments for the first 30 days the account is open. At the end of that time, the customer asks to have the funds wired to an account at a different firm as her needs have changed. The RR's first course of action should be to:

A.

Deny the request.

B.

Freeze the account.

C.

Report internally as a suspicious activity.

D.

Accept the instructions and wire the funds.

Question # 2

A customer buys 100 ABC at $50 and at the same time sells an ABC April 50 call at $8. At expiration, ABC must be at what market price for the customer to break even?

A.

$42

B.

$44

C.

$50

D.

$58

Question # 3

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 50% of total assets

B.

At least 75% of total assets

C.

At least 90% of total assets

D.

100% of assets

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