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SIE Question and answers Include

Total Questions: 164 Q&A's

Single Choice: 164 Q&A's

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SIE Valid and Updated Securities Industry Essentials Exam (SIE) Q&A Dumps

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SIE Questions and Answers

Question # 1

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?

The additional investment qualifies for a $100,000 breakpoint.

Each fund requires contributions of $100,000 to qualify for a breakpoint.

The customer must sign a new letter of intent to receive the $100,000 breakpoint on the additional purchase.

The customer will receive a sales charge discount on his next purchase after the account balance of the fund reaches $100,000.

Question # 2

A customer purchases 100 shares of stock on Thursday, August 2. This transaction must settle regular way no later than:

Friday, August 3

Monday, August 6

Tuesday, August 7

Wednesday, August 8

Question # 3

Which of the following statements is true regarding the SEC's characterization of a registration statement that has just been made effective?

The SEC has approved the security being offered for sale.

The SEC has found the information presented to be true and accurate.

The SEC has determined that no material information has been omitted.

The SEC has not passed judgment on the merits of the security being offered for sale.

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