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FINRA Securities Industry Essentials Exam (SIE) Sample Questions (Q102-Q107):

NEW QUESTION # 102
Which of the following terms describes an offer to purchase some or all shareholders' shares in a corporation, usually at a premium to the market price?

A. Stock split
B. Redemption
C. Tender
D. Class action

Answer: C

Explanation:
Step by Step Explanation:
* Tender Offer Definition: A tender offer is an offer to purchase a certain number of shares from shareholders, typically at a price above the current market value. This is often part of mergers, acquisitions, or corporate takeovers.
* Stock Split: A stock split increases the number of shares but decreases the price per share without affecting the total value of an investor's holdings.
* Redemption: Redemption refers to the repayment of a bond or preferred stock at maturity or at a predetermined date.
* Class Action: A class action is a lawsuit filed by a group of people with similar grievances.
References:
* SEC Rule 14e on tender offers: SEC Tender Offers.

NEW QUESTION # 103
In performing fundamental analysis of an equity, which of the following elements should an investor consider?

A. Financial statements
B. Moving average
C. Resistance and support levels
D. Chart patterns

Answer: A

Explanation:
Fundamental analysis focuses on evaluating a company's financial health and potential for growth by analyzing its financial statements, such as the income statement, balance sheet, and cash flow statement.
* C is correctbecause financial statements provide the data necessary for fundamental analysis.
* AandBare incorrect because chart patterns and moving averages are tools of technical analysis, not fundamental analysis.
* Dis incorrect because resistance and support levels are also part of technical analysis.

NEW QUESTION # 104
An investor is bullish on the technology sector and heavily invests in microchip companies. Impactful regulatory changes are announced that will negatively affect microchip manufacturing. In order to mitigate the risk to his portfolio, the investor should:

A. Purchase shares of other microchip companies in the technology sector.
B. Purchase holdings uncorrelated to the technology sector.
C. Sell holdings that are unaffected by the regulatory changes.
D. Buy more shares of the microchip companies already in his portfolio.

Answer: B

Explanation:
The announcement of negative regulatory changes introducesunsystematic risk, specific to the technology sector. Diversification into unrelated sectors can reduce exposure to this risk.
* A is correctbecause uncorrelated holdings reduce portfolio risk.
* Bis incorrect because adding more microchip companies increases exposure to sector-specific risk.
* Cdoes not address the core issue of over-concentration.
* Dis the opposite of mitigating risk.

NEW QUESTION # 105
An investor wants to purchase additional mutual fund shares with income distributed by the fund. Which of the following fund options permits this?

A. Dividend reinvestment
B. Dollar cost averaging
C. Capital gains reinvestment
D. Asset reallocation

Answer: A

Explanation:
Step by Step Explanation:
* Dividend Reinvestment Plans (DRIPs): These allow investors to automatically reinvest income distributed by the mutual fund to purchase additional shares.
* Dollar Cost Averaging: Refers to systematic investments over time, not directly tied to income distributions.
* Capital Gains Reinvestment: Involves reinvesting profits from the sale of fund holdings, which is distinct from dividend reinvestment.
References:
* FINRA Mutual Fund Features: FINRA Mutual Funds.

NEW QUESTION # 106
When the index level and strike price of a listed index option are the same, the option is:

A. Trading at intrinsic value only.
B. In the money.
C. At the money.
D. Out of the money.

Answer: C

Explanation:
An option is considered "at the money" when the current price of the underlying asset (or index level) equals the option's strike price.
* B is correctbecause the index level equals the strike price.
* Ais incorrect because "in the money" requires the option to have intrinsic value (e.g., for a call, the index level must be above the strike price).
* Cis incorrect because "out of the money" applies when the index level is below the strike price (for calls) or above it (for puts).
* Dis incorrect because "at the money" options have no intrinsic value.

NEW QUESTION # 107
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