Free FINRA SIE Exam Dumps Questions & Answers

An investor needs to liquidate stock today because he needs the cash. Which of the following order types must the investor place to ensure that the trade will be executed today?

• A.  Stop-limit order
• B.  Limit order
• C.  Stop order
• D.  Market order

Which of the following statements is true regarding the SEC ' s characterization of a registration statement that has just been made effective?

• A.  The SEC has not passed judgment on the merits of the security being offered for sale.
• B.  The SEC has found the information presented to be true and accurate.
• C.  The SEC has approved the security being offered for sale.
• D.  The SEC has determined that no material information has been omitted.

Which of the following strategies is best for mitigating the risk of a concentrated position?

• A.  Dividend reinvestment
• B.  Use of leverage
• C.  Diversification
• D.  Dollar-cost averaging

Which of the following risks is unique when comparing U.S. municipal bonds against U.S. government bonds as an investment?

• A.  Inflationary risk
• B.  Credit risk
• C.  Interest rate risk
• D.  Currency risk

A hedge fund is similar to a mutual fund in that both:

• A.  Pool investors' money and invest in an effort to make a positive return.
• B.  Are required to provide the same level of disclosure.
• C.  Are subject to the same registration requirements.
• D.  Are subject to the same valuation requirements.