SIE Exam Online Practice Test 12

1. Which of the following is not a purpose of the Securities Act of 1933?

2. Which of the following is an SRO?

3. Which of the following items should not be taken into consideration when determining investment suitability?

4. Which of the following investments would be most appropriate for an investor with an objective of capital preservation?

5. What is another name for the investment objective of total return?

6. Which of the following scenarios is the best example of diversification?

7. Which of the following statements is false regarding modern portfolio theory?

8. Which of the following are examples of information security to protect customers' personal information?

9. Which of the following investments would be the least suitable for an elderly investor who is risk averse?

10. Which of the following investors would be best suited to invest in US Treasuries?

11. In a joint tenancy with rights of survivorship (JTWROS) account, what happens to the assets when the first person dies?

12. Who is/are the authorized person(s) on an estate account?

13. How long must a member firm maintain client account statements?

14. Which of the following account activities in a newly opened account would raise suspicions as a possible money laundering activity?

15. __________ is the process that criminals use to try to hide or disguise the source of their illegal money by converting it into funds that appear legitimate.

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