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FINRA Certification
SIE Exam
FINRA.SIE.v2026-01-19.q55 Dumps

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Question 21

A rating agency downgrades a corporation's credit rating. Which of the following effects is thisaction most likely to have on the yield and price of the corporation's outstanding bonds?

A.Yield will fall; price will fall.
B.Yield will fall; price will rise.
C.Yield will rise; price will fall.
D.Yield will rise; price will rise.

Correct Answer: C

Step by Step Explanation:
* Credit Downgrade: Increases perceived risk, causing bond prices to drop and yields to rise.
* Yield-Price Relationship: Yields move inversely to bond prices. Lower prices lead to higher yields as investors demand more return for increased risk.
References:
* SEC Guidance on Bond Ratings: SEC Bond Ratings.

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Question 22

What is the sales load of an open-end investment company with a net asset value (NAV) of $14.35 and a public offering price (POP) of $15.50?

A.7.40%
B.8.00%
C.8.50%
D.9.25%

Correct Answer: C

The sales load is calculated as a percentage of the POP, using the formula:Sales load = (POP # NAV) ÷ POP
× 100
* POP = $15.50, NAV = $14.35.
* Sales load = ($15.50 # $14.35) ÷ $15.50 × 100 =8.50%.
* C is correctbecause the calculation results in an 8.50% load.
* A,B, andDare incorrect due to incorrect calculations.

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Question 23

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

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

Correct Answer: B

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.

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Question 24

A grandfather establishes a Uniform Transfers to Minors Act (UTMA) custodial account for his grandson and appoints an attorney as custodian. Which of the following individuals owns the account?

A.Attorney
B.Grandfather
C.Grandson
D.Grandson's parent

Correct Answer: C

In a UTMA account, the minor is the legal owner of the account. The custodian (in this case, the attorney) manages the account until the minor reaches the age of majority specified by state law.
* C is correctbecause the grandson (the minor) is the account's legal owner.
* Ais incorrect because the attorney is the custodian, not the owner.
* Bis incorrect because the grandfather established the account but does not own it.
* Dis incorrect because the parent does not have ownership unless explicitly named as the custodian.

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Question 25

Rising economic activity is most likely to increase revenues of which of the following sectors?

A.Utilities
B.Healthcare
C.Consumer staples
D.Consumer discretionary

Correct Answer: D

Step by Step Explanation:
* Consumer Discretionary Sector: Includes products and services that are not essential, such as luxury items, travel, and entertainment. Revenues increase as disposable income rises during economic expansion.
* Consumer Staples and Utilities: These sectors are defensive and less impacted by economic cycles.
* Healthcare: Also less correlated with economic cycles due to its essential nature.
References:
* SEC and FINRA Guidance on Sectors: Investopedia Sector Overview.

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