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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 responses best describes the primary strategy that an investor uses when selling a covered call?

Options:

A.

Hedging

B.

Speculation

C.

Profit guarantee

D.

Income generation

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Question 2

Which of the following responses describes a collateralized mortgage obligation (CMO) tranche?

Options:

A.

The yield a customer should expect if the CMO is held to maturity

B.

The estimated average life of the CMO expressed in years and months

C.

A slice of the investment representing a coupon rate, maturity date, and credit rating

D.

The method of underwriting used by the issuer to securitize the loans in the portfolio

Question 3

A customer owns 100 shares of ABC with a current market value of $5.00 per share. The company undergoes a 1-for-2 reverse split of the stock. Which of the following statements is true of the customer's holdings and the price of the stock?

Options:

A.

The customer will have 50 shares at $10.00 per share.

B.

The customer will have 100 shares at $5.00 per share.

C.

The customer will have 200 shares at $2.50 per share.

D.

The customer will have 1,000 shares at $0.50 per share.