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FINRA SIE Frequently Asked Questions
Question # 1
A customer receives a confirmation that discloses the firm has acted in a principal capacity. Which of the following statements is the best explanation for this disclosure?
A.The firm is selling to the customer from its inventory.
B.The firm is acting as an intermediary between the customer and an unrelated firm.
C.The firm is acting as an intermediary between the customer and another customer.
D.The firm matched the customer's purchase with a sell order listed on an electronic communication network (ECN).
Question # 2
Which of the following responses describes a common feature of a hedge fund?
A. Low liquidity for investors
B. Low minimum investment requirement
C. Primarily focused on fixed income investments
D. Transparent as to the underlying investments and strategies
Question # 3
Under which of the following circumstances, if any, is a member firm permitted to send gifts to registered representatives (RRs) of another member firm?
A. No single gift exceeds $100; no limit on the number of gifts
B. No single gift exceeds $100; maximum value of all gifts per RR per year is $200
C. Value of all gifts to an RR during a period of one year does not exceed $100
D. Under no circumstance
Question # 4
If a company with a single outstanding bond issue chooses to extinguish this debt through refunding, which of the following actions will occur?
A. The company will issue stock to replace the bonds.
B. The company will retire one debt with the proceeds from another issue.
C. The company will buy back the bonds, at a discount, from the bondholders.
D. The company will establish a sinking fund for use in making regular open-market purchases of the bonds.
Question # 5
A currency devaluation impacts a country's economic activity in which of the following ways?
A. Decreases inflation
B. Decreases gross domestic product (GDP)
C. Increases imports from merchandise trade countries
D. Makes exports cost less in merchandise trade countries
Question # 6
Under which of the following circumstances, if any, is a registered representative (RR) permitted to share in the profits and losses of security interests that the RR has purchased jointly with a customer?
A. Only when the customer is an accredited investor
B. Only if the RR's firm is also a participant in the sharing arrangement
C. When the profits and losses are proportionate to the amount contributed by the RR
D. Under no circumstances
Amelia
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