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SIE Dumps With Exact Questions and Answers

Exact2pass Provides 100% Valid Securities Industry Essentials Exam (SIE) SIE Exam dumps Questions and answers which can helps you to Pass Your Certification Exam in First Attempt.

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SIE Questions and Answers

Question # 1

Which of the following statements is true with regard to SIPC and FDIC?

A.

SIPC coverage is only for securities, and FDIC coverage is only for cash.

B.

SIPC protects brokerage accounts, and FDIC protects bank deposits.

C.

Money market mutual funds are covered by the FDIC and are not covered by SIPC.

D.

Securities held at broker-dealers are covered by the FDIC and are not covered by SIPC.

Question # 2

An investor generally purchases an open-end mutual fund from which of the following parties?

A.

The NYSE

B.

The fund's custodian

C.

The fund's underwriter

D.

An existing shareholder

Question # 3

SEC regulations permit a company to issue securities exempted from registration requirements of the Securities Act of 1933 under which of the following conditions?

A.

Offerings sold inside of the U.S. to non-U.S. persons

B.

Offerings sold with no more than 40 accredited investors

C.

Offerings sold with an aggregate price exceeding $5 million

D.

Offerings with no more than 35 non-accredited investors and an unlimited number of accredited investors

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