SIE Study guides, Class notes & Summaries

Upon Expiration, all in-the-money S&P 100 Index call options are settled by the delivery of which of the following? correct answer: Cash Which of the following statements is true about treasury stock? correct answer: It is issued stock that has been subsequently reacquired by the corporation In the event of a stock split, which of the following parties is required to maintain a record of the shareholders eligible to receive the additional shares? correct answer: Transfer Agent Which ...

Part of the SIE Exam note package, covers Unit 1 - Primary and Secondary Markets. All key information has been bolded/underlined, including textbook screenshots and emphasis on key test topics. A must for anyone studying for the FINRA Securities Industry Exam on short notice!

What is cost basis? A The original purchase price plus any transaction costs B The transaction charges affiliated with the purchase of any security C The net after-tax purchase price per share of common stock D The amount of any gain or loss if a different transaction had occurred - correct answer A. The original purchase price plus any transaction costs Which of the following corporate securities carries the greatest risk to the investor? A Commercial paper B Common stock C ...

Which corporate voting procedures entitles a shareholder to one vote per share, and votes must be divided evenly among the candidates being voted on? - correct answer Statutory voting What market refers to the trading of exchange-listed securities in the over-the-counter market? These trades allow institutional investors to trade blocks of securities directly, rather than through an exchange, providing liquidity and anonymity to buyers. - correct answer Third market An investor sells a nak...

Voting Rights - Holders of common stock have ______ _______, which allow them to exercise control by electing the board of directors and voting on corporate policy. This contrasts with holders of preferred stock, who typically do not have voting rights. Statutory Voting Rights - allows a shareholder to vote one time per share for each seat on the board of directors. For example, if an investor owns 100 shares of common stock and there are three board seats to be filled, they can cast up...

characteristics of LP - pass-through gains and losses, tax consequences, individual partners being responsible for reporting to the IRS Capital Markets - the stock and bonds market. both private and public sectors. source of financing for corps, municipalities and gov't intermediate to long term financing primary market - securities are sold to the investing company in issuer transactions. Issuer receives proceeds of sale secondary market - securitites trade between investors. One inve...

What type of risk is unique to a specific industry, business enterprise, or investment type? - Nonsystematic risk Under which of the following circumstances is an investor in a position to acquire stock? - Buy a call, sell a call (The holder of a call has the right to buy stock at the strike price if exercised. The seller of a put is obligated to buy stock at the strike price if exercised) Options- a premium - the cost of an option contract, expressed in dollars per share of the underlyi...

1. What is the core responsibility of the FRB? - ANSWER-To Maintain Price Stability 2. According to the Securities Act of 1933 compliance protocol, what information does a company have to disclose to its investors before the initial public offering? - ANSWER-Financial Statements and information about the offered securities 3. Why was the FDIC created? - ANSWER-To prevent bank runs and ensure that safety of customers' funds 4. Which associations protect investors against fraudulent activities...

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