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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q59-Q64):

NEW QUESTION # 59
Assuming yields are held constant, which of the following statements describes what will occur as a discount bond reaches maturity?

A. Its par value increases.
B. Its price decreases.
C. Its par value decreases.
D. Its price increases.

Answer: D

Explanation:
Step by Step Explanation:
* Discount Bonds: These are issued or traded below par value. Over time, their price moves closer to par as they approach maturity, assuming yields remain constant.
* Other Options:
* Par Value Changes: The par value of a bond does not change over time; only its price fluctuates.
References:
* SEC and FINRA Bond Basics: SEC Discount Bonds.

NEW QUESTION # 60
Which of the following strategies is best for mitigating the risk of a concentrated position?

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

Answer: C

Explanation:
Step by Step Explanation:
* Diversification: Spreads investments across multiple securities, industries, or asset classes to reduce exposure to a single security or sector.
* Other Options:
* Use of Leverage: Increases, not decreases, portfolio risk.
* Dollar-Cost Averaging: Reduces timing risk but does not address concentration.
* Dividend Reinvestment: Enhances returns but does not mitigate concentration risk.
References:
* SEC Guidance on Diversification: SEC Diversification.

NEW QUESTION # 61
Shares in a private investment in public equity (PIPE) offering are priced:

A. At the current market value per share.
B. At the public offering price (POP) as determined by the underwriters.
C. Below the current market value per share.
D. Above the current market value per share.

Answer: C

Explanation:
Step by Step Explanation:
* PIPE Offerings: Typically priced below the current market value to incentivize institutional investors to participate in these transactions.
* Discount: The discounted price compensates for the potential illiquidity and risk associated with PIPE offerings.
* POP/Market Value: These do not apply to private offerings structured as PIPE transactions.
References:
* SEC PIPE Offering Guidance: SEC PIPE Offerings.

NEW QUESTION # 62
Which of the following terms describes failure to honor a firm quote?

A. Market manipulation
B. Interpositioning
C. Backing away
D. Freeriding

Answer: C

Explanation:
Step by Step Explanation:
* Backing Away: Refers to the failure of a market maker to honor a firm quote when a customer attempts to trade at that price. It is a violation of market rules.
* Incorrect Options:
* Freeriding: Involves selling securities before paying for them in a cash account.
* Interpositioning: Involves unnecessary intermediaries in trades, which can harm customers.
* Market Manipulation: Covers a range of deceptive practices, such as wash trading or spoofing, not specific to honoring quotes.
References:
* FINRA Rule 5220 (Firm Quote Rule): FINRA Rule 5220.

NEW QUESTION # 63
Company XYZ is a U.S.-based provider of domestic utility services. XYZ's noncallable bonds pay a coupon rate of 5% and are currently yielding 9%. Market interest rates are currently 5.5%. An investor who purchases XYZ bonds is most exposed to which of the following risks?

A. Political risk
B. Currency risk
C. Credit risk
D. Prepayment risk

Answer: C

Explanation:
XYZ bonds have a yield higher than the coupon rate, indicating that their market price has decreased due to concerns about the issuer's creditworthiness.
* A is correctbecause the high yield suggests elevated credit risk.
* Bis incorrect because domestic utility companies are unlikely to face political risk.
* Cis irrelevant as the bonds are denominated in U.S. dollars.
* Dis incorrect as prepayment risk is associated with callable bonds, not noncallable bonds.

NEW QUESTION # 64
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