SIE問題集、FINRA実際の試験問題

質問 1

After a customer purchases bonds at a yield of 5.00%, the current yield at market price increases to 5.25%.
Which of the following statements is true regarding the value of the bonds?

A. The value of the bonds has decreased.

B. The value of the bonds has increased.

C. The face value of the bonds has decreased.

D. There is no change in the value of the bonds.

正解: A

解説: (PassTest メンバーにのみ表示されます)

質問 2

For up to how many business days is a firm initially permitted to place a temporary hold on disbursements for a specified adult account in which the firm reasonably believes financial exploitation has occurred?

A. 3 business days

B. 15 business days

C. 5 business days

D. 10 business days

正解: D

解説: (PassTest メンバーにのみ表示されます)

質問 3

The FINRA Suitability Rule obligations apply to:

A. recommendations to hold a specific security position.

B. descriptive information about an employer-sponsored retirement or benefit plan.

C. asset allocation models that are based on generally accepted investment theories.

D. general financial and investment information, including basic investment concepts.

正解: A

解説: (PassTest メンバーにのみ表示されます)

質問 4

Which of the following statements best describes the market maker system of trading and execution?

A. One market maker is responsible for maintaining a fair and orderly market for all market participants.

B. All orders are transmitted to a designated market maker for review before being displayed to the broader market.

C. Multiple market makers compete with each other in displaying bids and offers to the general marketplace.

D. Individual market participants negotiate with each other to execute orders through a designated market maker.

正解: C

解説: (PassTest メンバーにのみ表示されます)

質問 5

Which of the following market participants serve as intermediaries between buyers and sellers to ensure that trades are settled correctly?

A. Clearing corporations

B. Investment advisers

C. Market makers

D. Exchanges

正解: A

解説: (PassTest メンバーにのみ表示されます)

質問 6

A registered representative books a large number of customer trades that are later canceled and then rebooked into accounts of different customers. Which of the following activities does this behavior most likely indicate?

A. Front running

B. Money laundering

C. Insider trading

D. Unauthorized trading

正解: D

解説: (PassTest メンバーにのみ表示されます)

質問 7

Under FINRA rules, which of the following activities is a private securities transaction that requires preapproval?

A. Selling term life and property casualty insurance

B. Providing accounting and tax preparation services

C. Teaching a financial planning class at a local community college

D. Participating in the sale of promissory notes to raise money for a small business

正解: D

解説: (PassTest メンバーにのみ表示されます)

質問 8

Under the SEC's Recordkeeping and Retention Requirements Rule, a broker-dealer is required to keep which of the following records for the lifetime of its existence?

A. Trade blotters

B. Customer confirmations

C. Forms U4, Forms U5 and employee records

D. Corporate formation documents

正解: D

解説: (PassTest メンバーにのみ表示されます)

質問 9

Which of the following types of debt securities has the highest liquidity?

A. Mortgage bonds

B. Treasury bonds

C. Corporate bonds

D. Municipal bonds

正解: B

質問 10

When opening an account for an employee of another member firm, FINRA rules require a member firm to meet all of the following requirements except:

A. Advise the employee that it will notify the employer firm of the account opening.

B. Send written notice to the employer firm prior to executing the initial order for the employee's account.

C. Request prior written approval from FINRA.

D. Forward duplicate confirmations and statements to the employer firm if requested by the employer firm to do so.

正解: C

解説: (PassTest メンバーにのみ表示されます)

質問 11

As the economy worsens, which of the following types of investing should perform best?

A. Growth

B. Momentum

C. Income

D. Cyclical

正解: C

解説: (PassTest メンバーにのみ表示されます)

質問 12

Which of the following portfolios is diversified across asset classes?

A. A portfolio of real estate investment trusts that contains residential and commercial properties

B. A portfolio that includes a mix of equity and fixed income investments

C. A portfolio that invests in regional banks located in the Midwest

D. A portfolio of municipal bonds that is laddered to include various maturity dates

正解: B

解説: (PassTest メンバーにのみ表示されます)

質問 13

Which of the following information is typically contained in the preliminary prospectus for a company conducting an initial public offering (IPO)?

A. Ownership structure

B. Anticipated trading volume

C. FINRA determination that the preliminary prospectus is accurate

D. SEC approval of the merits of the offering

正解: A

解説: (PassTest メンバーにのみ表示されます)

FINRA Securities Industry Essentials Exam (SIE) - SIE 模擬練習