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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q67-Q72):

NEW QUESTION # 67
For which of the following account types will the partial ownership pass into an estate account upon the death of one of the individuals listed on the account?

A. Partnership
B. Tenants in common
C. Joint tenants with right of survivorship (JTWROS)
D. Trust corporation

Answer: B

Explanation:
In atenants in commonaccount, each owner has a distinct percentage of ownership. Upon the death of one owner, their share does not transfer to the surviving owner(s); instead, it becomes part of the deceased's estate.
* C is correctbecause ownership is divided, and the deceased's share passes to their estate.
* Ais incorrect because partnerships have different agreements governing ownership transitions.
* Bis incorrect because trust corporations are governed by trust agreements, not estate processes.
* Dis incorrect because JTWROS accounts pass ownership directly to the surviving account holder(s).

NEW QUESTION # 68
The process in which the buying firm must pay for the securities and the selling firm must deliver the securities is known as:

A. A delivery versus payment (DVP) transaction
B. A corporate action
C. Clearing the trade
D. The settlement of the transaction

Answer: D

Explanation:
Step by Step Explanation:
* Settlement of the Transaction: Refers to the finalization of a trade, where the buyer pays for the securities, and the seller delivers them. For most securities, regular-way settlement occurs T+2 (trade date plus two business days).
* Incorrect Options:
* Clearing the Trade: Refers to matching trade details to prepare for settlement.
* DVP Transactions: A specific type of settlement involving simultaneous payment and delivery, often used for institutional clients.
* Corporate Action: Refers to events like stock splits or dividend declarations.
References:
* FINRA and SEC Guidelines on Settlement: SEC Settlement Process.

NEW QUESTION # 69
A municipal securities dealer makes a political contribution of $990 to a local mayoral candidate. At the end of the quarter, to whom, if anyone, must the dealer report the contribution?

A. No disclosure required as the amount is below the reporting threshold
B. FINRA
C. SEC
D. MSRB

Answer: D

Explanation:
Step by Step Explanation:
* MSRB Rule G-37: Requires municipal securities dealers to report contributions to the MSRB, even if the amount is below the $1,000 threshold that would trigger a two-year prohibition on municipal business.
* Incorrect Options:
* SEC and FINRA: Not involved in reporting political contributions for municipal securities.
References:
* MSRB Rule G-37 (Political Contributions): MSRB Rule G-37.

NEW QUESTION # 70
An investor owns $10,000 par value of a municipal bond with the following rates:
* 4.0% coupon rate
* 5.0% current yield
* 4.5% yield to maturity (YTM)
* 6.5% tax-equivalent yield
What amount of interest should the investor expect to receive each year?

A. $500
B. $400
C. $450
D. $650

Answer: B

Explanation:
The annual interest on a bond is calculated based on thecoupon rateand the bond's par value.
* Coupon rate = 4.0%.
* Annual interest = $10,000 (par value) × 4.0% =$400.
* A is correctbecause the coupon rate determines the annual interest.
* B,C, andDare incorrect because they reflect incorrect calculations. The current yield, YTM, and tax- equivalent yield do not affect the bond's fixed coupon payments.

NEW QUESTION # 71
Which of the following responses describes a collateralized mortgage obligation (CMO) tranche?

A. The estimated average life of the CMO expressed in years and months
B. A slice of the investment representing a coupon rate, maturity date, and credit rating
C. The method of underwriting used by the issuer to securitize the loans in the portfolio
D. The yield a customer should expect if the CMO is held to maturity

Answer: B

Explanation:
CMOs are divided into tranches, which are portions of the pool of mortgage-backed securities. Each tranche has its own characteristics, including coupon rate, maturity date, and credit rating, tailored to meet the needs of different investors.
* C is correctbecause tranches represent slices of the investment with specific terms.
* Ais incorrect because the yield depends on prepayment rates and interest rate changes.
* Bis incorrect as average life is an estimate, not a defining characteristic of a tranche.
* Dis incorrect because underwriting is unrelated to the definition of a tranche.

NEW QUESTION # 72
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