SIE資料勉強、SIE試験概要

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FINRA SIE 認定試験の出題範囲：

トピック	出題範囲
トピック 1	Understanding Products and Their Risks: This section of the exam measures the skills of Investment Analysts and examines different financial products and associated risks. Candidates must understand equity securities, including common stock, as well as debt instruments such as Treasury securities and mortgage-backed securities.
トピック 2	Market Structure: This section of the exam measures the skills of Equity Market Specialists and covers the classification of financial markets, including the primary, secondary, third, and fourth markets. Candidates must demonstrate knowledge of electronic trading, over-the-counter (OTC) markets, and physical exchanges. One specific skill tested is differentiating between various market types and their operational mechanisms.
トピック 3	Employee Conduct and Reportable Events: This section of the exam measures the skills of Financial Compliance Specialists and covers regulatory expectations regarding employee conduct and disclosure requirements. Candidates must be familiar with Form U4 and Form U5, as well as reporting obligations for outside business activities and political contributions.
トピック 4	Understanding Trading, Customer Accounts, and Prohibited Activities: This section of the exam measures the skills of Securities Traders and focuses on different trading strategies, settlement processes, and corporate actions. Candidates must demonstrate knowledge of order types, including market, limit, stop, and good-til-canceled orders, as well as bid-ask spreads and discretionary versus non-discretionary trading.
トピック 5	Overview of the Regulatory Framework: This section of the exam measures the skills of Compliance Officers and evaluates knowledge of self-regulatory organization (SRO) requirements, including registration and continuing education for associated persons. Candidates must understand the distinction between registered and non-registered individuals and the requirements for maintaining industry qualifications.

>> SIE資料勉強 <<

SIE試験概要 & SIE合格体験談

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FINRA Securities Industry Essentials Exam (SIE) 認定 SIE 試験問題 (Q151-Q156):

質問 # 151
If an investor is bullish on ABC, which of the following actions will he most likely take?

A. Buy ABC stock
B. Buy ABC puts
C. Sell ABC calls
D. Sell ABC stock short

正解：A

解説：
Step by Step Explanation:
* Bullish Position: Buying ABC stock aligns with the expectation that the stock's price will rise, allowing the investor to profit.
* Incorrect Options:
* A: Buying puts is a bearish strategy.
* C: Selling calls benefits from stable or declining prices.
* D: Selling short is a bearish strategy anticipating a price drop.
References:
* FINRA Guidance on Market Strategies: FINRA Trading Basics.

質問 # 152
A registered representative wants to open an account for himself at a different financial institution. Under FINRA rules, which of the following accounts requires prior written consent from his employing broker- dealer?

A. A 529 savings plan account established for his grandchild
B. Variable contracts registered under the Investment Company Act
C. An investment advisory account in which securities transactions are effected
D. Mutual fund accounts held directly with the fund company

正解：C

解説：
Step by Step Explanation:
* FINRA Rule 3210: Requires registered representatives to obtain written consent from their employing broker-dealer before opening accounts at other financial institutions if securities transactions will occur.
* Incorrect Options:
* A, B, and C: These accounts are exempt because they do not involve direct securities transactions requiring monitoring.
References:
* FINRA Rule 3210 (Accounts at Other Institutions): FINRA Rule 3210.

質問 # 153
Which of the following must a registered representative disclose as an outside business activity (OBA) on his Form U4?

A. Board member serving without compensation for a not-for-profit entity
B. Volunteer work for a local charity
C. Trustee on a grandparent's estate account
D. Board member for a publicly traded company

正解：D

解説：
FINRA Rule 3270 requires registered representatives to disclose all outside business activities that involve compensation or could reasonably be perceived as a conflict of interest.
* C is correctbecause serving as a board member for a publicly traded company is a business activity requiring disclosure, even if compensation is indirect.
* Ais incorrect because volunteer work for charities does not require disclosure.
* Bis incorrect because acting as a trustee for a personal or family estate is generally not considered an OBA.
* Dis incorrect because unpaid board membership for a not-for-profit entity does not typically require disclosure.

質問 # 154
In performing fundamental analysis of an equity, which of the following elements should an investor consider?

A. Chart patterns
B. Moving average
C. Resistance and support levels
D. Financial statements

正解：D

解説：
Fundamental analysis focuses on evaluating a company's financial health and potential for growth by analyzing its financial statements, such as the income statement, balance sheet, and cash flow statement.
* C is correctbecause financial statements provide the data necessary for fundamental analysis.
* AandBare incorrect because chart patterns and moving averages are tools of technical analysis, not fundamental analysis.
* Dis incorrect because resistance and support levels are also part of technical analysis.

質問 # 155
Which of the following products is redeemable at net asset value (NAV)?

A. Options contracts
B. Municipal bonds
C. Corporate stock
D. Open-end mutual funds

正解：D

解説：
Open-end mutual funds are redeemable securities, meaning investors can sell their shares back to the fund at the NAV.
* D is correctbecause mutual funds allow redemption at NAV.
* A,B, andCare not redeemable securities.

質問 # 156
......

皆が知っているように、試験はほとんどの学生にとって難しい問題ですが、テストSIE認定を取得し、関連する証明書を取得することは、労働者にとって非常に重要です。ただし、幸いなことに、この種の問題を心配する必要はありません。最良のソリューションであるSIE実践教材を見つけることができるからです。当社の技術と継続的な投資と研究の補助設備により、当社の将来は明るいです。SIE学習ツールには多くの利点があり、SIE試験問題の合格率は99％〜100％です。。

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SIE資料勉強、SIE試験概要

FINRA SIE 認定試験の出題範囲：

SIE試験概要 & SIE合格体験談

FINRA Securities Industry Essentials Exam (SIE) 認定 SIE 試験問題 (Q151-Q156):

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