SIE Practice Test 4
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Question 1 of 10
1. Question
Cassie has $180,000 saved with an FDIC member bank. Her and her husband Conner have a joint account at the same bank with a total of $620,000. If the bank were to fail, how much in total would this couple be insured?
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Question 2 of 10
2. Question
Michael just received a financial report in December 2020 including the investment company’s balance sheet, income statement, and various transactions completed. When should Michael at the very latest expect the next financial report?
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Question 3 of 10
3. Question
Which type of DPP (Direct Participation Program) has depreciation deductibles?
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Question 4 of 10
4. Question
How can a REIT avoid being taxed as a corporation?
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Question 5 of 10
5. Question
With hedge funds being unregulated, how does the U.S. confirm its investors are sophisticated?
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Question 6 of 10
6. Question
Jalen is looking at a bond with a coupon rate of 5%. The current inflation rate is 4%, but Jalen is afraid that it may drastically increase soon and negatively impact his debt instrument? Which risk is Jalen’s fear highlighting?
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Question 7 of 10
7. Question
Which of the following is not an advantage of an ETF compared to open-end mutual funds?
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Question 8 of 10
8. Question
Which of the following is not a potential sanction under FINRA’s Code of Procedure?
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Question 9 of 10
9. Question
Jonathan’s friend told him that he can save money on taxes by selling his stock while down to generate a capital loss. Then all he would need to do is buy the stock right back for long-term investments meanwhile reporting capital loss on his taxes. Which violation is Jonathan’s friend instigating?
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Question 10 of 10
10. Question
When can a BD give another firm’s employees’ gratuities?
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