2025 SIE Valid Test Pdf | Newest SIE 100% Free Study Demo

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q75-Q80):

NEW QUESTION # 75
Corporate bonds unsecured by any pledge of property are called:

A. Trust certificates
B. Collateral trust bonds
C. Debentures
D. General obligation (GO) bonds

Answer: C

Explanation:
Step by Step Explanation:
* Debentures: Corporate bonds not backed by physical assets or collateral. They rely on the issuer's creditworthiness.
* Incorrect Options:
* B: Trust certificates are a legacy term for bonds backed by a trust.
* C: Collateral trust bonds are secured by financial assets.
* D: GO bonds are issued by municipalities, not corporations.
References:
* SEC Guide on Corporate Bonds: SEC Corporate Bonds.

NEW QUESTION # 76
A Treasury bill is issued under which of the following terms?

A. At par plus interest
B. At par
C. At a stated rate of interest
D. At a discount

Answer: D

Explanation:
Treasury bills (T-bills) are short-term debt securities issued at a discount to par value. The difference between the purchase price and the par value represents the investor's interest income, which is realized when the T- bill matures.
* C is correctbecause T-bills are issued at a discount and mature at par.
* Ais incorrect because T-bills are not sold at par value.
* BandDare incorrect because T-bills do not pay periodic interest; the return is based on the discount.

NEW QUESTION # 77
Which of the following responses describes a warrant?

A. An interest-paying security
B. Redemption rights for a debt instrument
C. The right to purchase a specified amount of shares
D. A fixed-income security issued by a state or municipality

Answer: C

Explanation:
Step by Step Explanation:
* Warrants: These are long-term options issued by a company that give the holder the right to buy shares at a specific price before expiration. They are typically attached to bond or stock offerings to make them more attractive.
* Incorrect Options:
* A: Warrants do not pay interest.
* B: Refers to callable bonds, not warrants.
* D: Describes municipal bonds, not warrants.
References:
* SEC Guide to Warrants and Options: SEC Warrants Information.

NEW QUESTION # 78
Under which of the following circumstances, if any, is it permissible for an individual without a Power of Attorney (POA) to sign a customer's name on their behalf?

A. Upon receipt of verbal authorization provided that written authorization is subsequently provided
B. Never permissible to sign a customer's name on their behalf
C. When accounts are fully discretionary
D. Upon approval by a firm principal

Answer: B

Explanation:
Step by Step Explanation:
* Prohibition on Signing Customer Names: It is never permissible to sign a customer's name without written authorization (POA) due to legal and ethical concerns. Unauthorized signing constitutes forgery and violates FINRA rules.
* Incorrect Options:
* A: Firm principal approval does not override this prohibition.
* B: Verbal authorization is insufficient.
* C: Discretionary authority does not allow unauthorized signing.
References:
* FINRA Rule 4512 (Customer Account Information): FINRA Rule 4512.

NEW QUESTION # 79
Company XYZ is a U.S.-based provider of domestic utility services. XYZ's noncallable bonds pay a coupon rate of 5% and are currently yielding 9%. Market interest rates are currently 5.5%. An investor who purchases XYZ bonds is most exposed to which of the following risks?

A. Currency risk
B. Prepayment risk
C. Credit risk
D. Political risk

Answer: C

Explanation:
XYZ bonds have a yield higher than the coupon rate, indicating that their market price has decreased due to concerns about the issuer's creditworthiness.
* A is correctbecause the high yield suggests elevated credit risk.
* Bis incorrect because domestic utility companies are unlikely to face political risk.
* Cis irrelevant as the bonds are denominated in U.S. dollars.
* Dis incorrect as prepayment risk is associated with callable bonds, not noncallable bonds.

NEW QUESTION # 80
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2025 SIE Valid Test Pdf | Newest SIE 100% Free Study Demo

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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q75-Q80):

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