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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q86-Q91):

NEW QUESTION # 86
Beta coefficient is a measure of:

A. Only the upside participation of an individual stock.
B. The liquidity of an individual stock relative to the sector average.
C. The volatility of an individual stock relative to the broad stock market.
D. The volatility of the broad stock market.

Answer: C

Explanation:
The beta coefficient measures the sensitivity of a stock's returns relative to the overall market (usually the S&P 500). A beta of:
* 1.0indicates the stock moves in line with the market.
* Greater than 1.0suggests the stock is more volatile than the market.
* Less than 1.0suggests the stock is less volatile.
* D is correctbecause beta specifically compares the volatility of a stock to the market.
* Ais incorrect as beta does not measure the market's volatility.
* Bis incorrect as beta considers both upside and downside movements.
* Cis incorrect as beta does not measure liquidity.

NEW QUESTION # 87
Under SEC Regulation A, which of the following market participants, if deemed to be a bad actor, will disqualify the offering from reliance on this registration exemption?

A. Custodian
B. Clearing corporation
C. Transfer agent
D. Underwriter

Answer: D

Explanation:
SEC Regulation A provides a registration exemption for smaller public offerings but includes a "bad actor" disqualification. If certain key parties, such as the issuer, underwriter, or affiliates, have been involved in securities violations, the exemption is forfeited.
* B is correctbecause underwriters are considered essential participants, and their status as bad actors disqualifies the offering.
* A,C, andDare incorrect because custodians, transfer agents, and clearing corporations are not included in the "bad actor" provisions of Regulation A.

NEW QUESTION # 88
Which of the following rates is the interest rate at which banks borrow and lend to each other on an overnight basis?

A. Prime rate
B. LIBOR
C. Federal funds rate
D. Discount rate

Answer: C

Explanation:
Step by Step Explanation:
* Federal Funds Rate: The rate at which depository institutions lend reserves to each other overnight. It is set by the Federal Open Market Committee (FOMC).
* Other Rates:
* Prime Rate: Rate banks charge their most creditworthy customers.
* Discount Rate: Rate the Federal Reserve charges banks for borrowing directly from it.
* LIBOR: Interbank lending rate used internationally, now being phased out.
References:
* Federal Reserve Explanation of Rates: Federal Funds Rate.

NEW QUESTION # 89
SEC Regulation S-P (Consumer Privacy) requires certain information to be included in privacy notices delivered to customers of broker-dealers (BDs). Which of the following information is required to be included in the privacy notice?

A. The BD's policies and practices for protecting the customer's nonpublic personal information
B. The website and telephone number of the Consumer Financial Protection Bureau (CFPB)
C. The website and telephone number of SIPC
D. The name and telephone number of the BD's chief compliance officer

Answer: A

Explanation:
Regulation S-P mandates that broker-dealers disclose how they collect, protect, and share customers' nonpublic personal information. The privacy notice must include:
* The categories of information collected.
* The firm's policies for safeguarding data.
* Opt-out rights for sharing information with unaffiliated third parties.
* D is correctbecause privacy notices must describe policies for protecting customer information.
* A,B, andCare incorrect because they do not relate to the required elements of Regulation S-P privacy notices.

NEW QUESTION # 90
A currency devaluation impacts a country's economic activity in which of the following ways?

A. Makes exports cost less in merchandise trade countries
B. Increases imports from merchandise trade countries
C. Decreases gross domestic product (GDP)
D. Decreases inflation

Answer: A

Explanation:
Currency devaluation reduces the value of a country's currency relative to others, making its exports cheaper and more competitive internationally. This stimulates demand for the country's goods and services.
* D is correctbecause devaluation reduces export costs, encouraging foreign buyers.
* Ais incorrect because devaluation can increase inflation by raising the cost of imported goods.
* Bis incorrect because GDP often rises due to increased export demand.
* Cis incorrect because imports become more expensive after devaluation, reducing demand.

NEW QUESTION # 91
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