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SIE Exam Dumps : Securities Industry Essentials Exam (SIE)

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Securities Industry Essentials Exam (SIE) Questions and Answers

Question 1

Which of the following risks are associated with Treasury securities?

Options:

A.

Credit risk

B.

Liquidity risk

C.

Prepayment risk

D.

Interest rate risk

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Question 2

A customer wants to establish an account for the benefit of his grandchildren. He states to his registered representative that he wants to be able to control the distribution of the assets and direct how the account will be invested. Which of the following account types is most appropriate?

Options:

A.

Trust

B.

UTMA

C.

529 savings plan

D.

Certificate of deposit (CD)

Question 3

A hypothecation agreement gives the broker-dealer the right to engage in which of the following activities?

Options:

A.

Sharing customers' nonpublic personal information with nonaffiliated third parties

B.

Entering trades in a customer's account without prior authorization from the customer

C.

Selling a customer's securities when the customer has failed to pay for trades in a cash account

D.

Using securities that a customer has bought on margin as collateral to obtain a loan from a bank