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SIE TESTS COMPILATION BUNDLE
SIE TESTS COMPILATION BUNDLE
[Montrer plus]SIE TESTS COMPILATION BUNDLE
[Montrer plus]Section 1: Knowledge of Capital Markets Correct Answer: The SEC purpose/mission when created jurisdiction authority Correct Answer: protect investos, maintin fair orderly & efficient markets, facilitate capital formation by congress in 1934 US federal government enforce federal s...
Aperçu 4 sur 41 pages
Ajouter au panierSection 1: Knowledge of Capital Markets Correct Answer: The SEC purpose/mission when created jurisdiction authority Correct Answer: protect investos, maintin fair orderly & efficient markets, facilitate capital formation by congress in 1934 US federal government enforce federal s...
A customer writes an MMM January 70 put at 6. The maximum potential gain on this position is correct answer: 600 Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is correct answer: 7300 Large time deposits of more than $100,000 are considered to be found in...
Aperçu 2 sur 13 pages
Ajouter au panierA customer writes an MMM January 70 put at 6. The maximum potential gain on this position is correct answer: 600 Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is correct answer: 7300 Large time deposits of more than $100,000 are considered to be found in...
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 allo...
Aperçu 2 sur 12 pages
Ajouter au panierWhich 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 allo...
The Securities & Exchange Commission (SEC) was created by Congress in A 1929 B 1933 C 1934 D 1940 correct answer: 1934 The Act of '34 created the SEC. The term 'disclaimer' is most often associated with A The fact that no agent can guarantee a customer against loss B ...
Aperçu 3 sur 29 pages
Ajouter au panierThe Securities & Exchange Commission (SEC) was created by Congress in A 1929 B 1933 C 1934 D 1940 correct answer: 1934 The Act of '34 created the SEC. The term 'disclaimer' is most often associated with A The fact that no agent can guarantee a customer against loss B ...
A common shareholder is not entitled to: correct answer: Appoint officers of the corporation Which of the following statements is TRUE concerning electronic communication networks (ECNs) correct answer: They can be used by investors who want to trade anonymously Which of the following invest...
Aperçu 4 sur 41 pages
Ajouter au panierA common shareholder is not entitled to: correct answer: Appoint officers of the corporation Which of the following statements is TRUE concerning electronic communication networks (ECNs) correct answer: They can be used by investors who want to trade anonymously Which of the following invest...
A corporation can avoid registration requirements in the issuance of securities by engaging in a price placement under correct answer: Regulation D All of the Following are difference between qualified and non qualified retirement plans EXCEPT correct answer: - IRS approval requirement - TAXAT...
Aperçu 4 sur 58 pages
Ajouter au panierA corporation can avoid registration requirements in the issuance of securities by engaging in a price placement under correct answer: Regulation D All of the Following are difference between qualified and non qualified retirement plans EXCEPT correct answer: - IRS approval requirement - TAXAT...
Which of the following statements is true regarding the concept of an annuity contract? a) Payouts of an investment in a nonqualified annuity are all income tax-free b) The kind of annuity selected partly determines the payment amounts to the annuitant c) In the case of life annuity contracts, ...
Aperçu 3 sur 20 pages
Ajouter au panierWhich of the following statements is true regarding the concept of an annuity contract? a) Payouts of an investment in a nonqualified annuity are all income tax-free b) The kind of annuity selected partly determines the payment amounts to the annuitant c) In the case of life annuity contracts, ...
Which of the following activities is NOT performed by a transfer agent? correct answer: Maintaining the issuer's ownership register for each issuance of securities For the buyer of an option, the premium paid is considered the: correct answer: Maximum risk Which of the following is NOT a ty...
Aperçu 2 sur 13 pages
Ajouter au panierWhich of the following activities is NOT performed by a transfer agent? correct answer: Maintaining the issuer's ownership register for each issuance of securities For the buyer of an option, the premium paid is considered the: correct answer: Maximum risk Which of the following is NOT a ty...
The Securities & Exchange Commission (SEC) was created by Congress in correct answer: 1934 The term 'disclaimer' is most often associated with correct answer: The fact that the government cannot guarantee the accuracy of the information in a prospectus In most cases, Federal Securities Law...
Aperçu 1 sur 4 pages
Ajouter au panierThe Securities & Exchange Commission (SEC) was created by Congress in correct answer: 1934 The term 'disclaimer' is most often associated with correct answer: The fact that the government cannot guarantee the accuracy of the information in a prospectus In most cases, Federal Securities Law...
U.S. government's long-term debt instrument having maturities of 10 years and up to 30 years correct answer: treasury bonds All U.S. government issues are delivered in correct answer: book entry an investor holding a corporate-issued mortgage bond is secured by correct answer: real estate ...
Aperçu 2 sur 8 pages
Ajouter au panierU.S. government's long-term debt instrument having maturities of 10 years and up to 30 years correct answer: treasury bonds All U.S. government issues are delivered in correct answer: book entry an investor holding a corporate-issued mortgage bond is secured by correct answer: real estate ...
An individual who has been previously registered with another firm is applying for registration with a new member firm. The new member firm has requested the Form U5 from the applicant. Within how many days must the applicant provide the Form U5 from his previous registration? correct answer: 2 bus...
Aperçu 3 sur 17 pages
Ajouter au panierAn individual who has been previously registered with another firm is applying for registration with a new member firm. The new member firm has requested the Form U5 from the applicant. Within how many days must the applicant provide the Form U5 from his previous registration? correct answer: 2 bus...
Distributions from IRAs are taxed at correct answer: ordinary income tax rates on the full amount of the distribution. Regarding transferability for common shares, which of the following is true? correct answer: Shares can be sold or given away without the permission of the corporation. Duri...
Aperçu 2 sur 5 pages
Ajouter au panierDistributions from IRAs are taxed at correct answer: ordinary income tax rates on the full amount of the distribution. Regarding transferability for common shares, which of the following is true? correct answer: Shares can be sold or given away without the permission of the corporation. Duri...
Which of the following investments is the MOST suitable for a person who is interested in aggressive growth? 1) Common Stock 2) High-Yield Bond Fund 3) Preferred Stock 4) High-rated Bond correct answer: A: 1) Common Stock *Of the choices listed, common stock has historically provided the g...
Aperçu 4 sur 47 pages
Ajouter au panierWhich of the following investments is the MOST suitable for a person who is interested in aggressive growth? 1) Common Stock 2) High-Yield Bond Fund 3) Preferred Stock 4) High-rated Bond correct answer: A: 1) Common Stock *Of the choices listed, common stock has historically provided the g...
all of the following accounts are for unincorporated business except: sole proprietorship accounts corporate accounts partnership accounts limited liability company accounts correct answer: corporate accounts - corporations are incorporated In an irrevocable trust may or must do which of the...
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Ajouter au panierall of the following accounts are for unincorporated business except: sole proprietorship accounts corporate accounts partnership accounts limited liability company accounts correct answer: corporate accounts - corporations are incorporated In an irrevocable trust may or must do which of the...
A client entering a sell limit order at 43 would accept which of the following trades? A) 42.90 B) 42.50 C) 42 D) 44 correct answer: D) 44 A customer has an account with a broker-dealer who provides a group of services, such as asset allocation, portfolio management, trade executions, and ...
Aperçu 2 sur 13 pages
Ajouter au panierA client entering a sell limit order at 43 would accept which of the following trades? A) 42.90 B) 42.50 C) 42 D) 44 correct answer: D) 44 A customer has an account with a broker-dealer who provides a group of services, such as asset allocation, portfolio management, trade executions, and ...
A registered principal or RR must retake the qualifying exam if his or her registration has been revoked or terminated for a period of ________ or more. a. 1 year b. 2 years c. 3 years d. 4 years correct answer: b. 2 years An options contract that gives the holder the right to purchase the ...
Aperçu 2 sur 6 pages
Ajouter au panierA registered principal or RR must retake the qualifying exam if his or her registration has been revoked or terminated for a period of ________ or more. a. 1 year b. 2 years c. 3 years d. 4 years correct answer: b. 2 years An options contract that gives the holder the right to purchase the ...
Each member broker-dealer is required to have a principal executive monitoring the firm's adherence to SRO as well as State and Federal laws and regulations, known as the firm's A CEO B CCO C COO D Business Continuity contact person correct answer: B CCO CCO = Chief Compliance Officer...
Aperçu 3 sur 29 pages
Ajouter au panierEach member broker-dealer is required to have a principal executive monitoring the firm's adherence to SRO as well as State and Federal laws and regulations, known as the firm's A CEO B CCO C COO D Business Continuity contact person correct answer: B CCO CCO = Chief Compliance Officer...
A registered person who fails to complete the Regulatory Element of the industry's Continuing Education Program will [A] have his registration suspended until the program is completed.* [B] be able to perform only a limited number of registered duties. [C] be required to re-take the license exam...
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Ajouter au panierA registered person who fails to complete the Regulatory Element of the industry's Continuing Education Program will [A] have his registration suspended until the program is completed.* [B] be able to perform only a limited number of registered duties. [C] be required to re-take the license exam...
Which of the following statements is TRUE concerning periodic payment variable annuities? A. A client's number of annuity units never changes B. A client's number of accumulation units never changes C. Annuity contracts never have a beneficiary D. The monthly payout is fixed by the inflation...
Aperçu 4 sur 34 pages
Ajouter au panierWhich of the following statements is TRUE concerning periodic payment variable annuities? A. A client's number of annuity units never changes B. A client's number of accumulation units never changes C. Annuity contracts never have a beneficiary D. The monthly payout is fixed by the inflation...
401(k) Early Withdrawal correct answer: An individual who is over 55 and separated from work may take an early distribution from their 401(k) plan from their LAST employer. They would NOT be able to access funds from any 401(k) plans from previous employers. For those, the usual 59.5 age applies. ...
Aperçu 2 sur 10 pages
Ajouter au panier401(k) Early Withdrawal correct answer: An individual who is over 55 and separated from work may take an early distribution from their 401(k) plan from their LAST employer. They would NOT be able to access funds from any 401(k) plans from previous employers. For those, the usual 59.5 age applies. ...
purpose of securities industry correct answer: matching investors with money to issuers that need that money to finance issuer correct answer: legal entity that sells securities in order to finance its operations (business, governments) ie. us treasury, us gov agencies, foreign governments, sta...
Aperçu 4 sur 237 pages
Ajouter au panierpurpose of securities industry correct answer: matching investors with money to issuers that need that money to finance issuer correct answer: legal entity that sells securities in order to finance its operations (business, governments) ie. us treasury, us gov agencies, foreign governments, sta...
What type of risk is unique to a specific industry, business enterprise, or investment type? correct answer: Nonsystematic risk Under which of the following circumstances is an investor in a position to acquire stock? correct answer: Buy a call, sell a call (The holder of a call has the right t...
Aperçu 4 sur 46 pages
Ajouter au panierWhat type of risk is unique to a specific industry, business enterprise, or investment type? correct answer: Nonsystematic risk Under which of the following circumstances is an investor in a position to acquire stock? correct answer: Buy a call, sell a call (The holder of a call has the right t...
To offer its shareholders a privilege to obtain its shares at a fixed price, which of the following product does a corporation issue? correct answer: Rights A customer has a cash balance in her account together with long positions in several securities. She has made no securities transactions in...
Aperçu 2 sur 5 pages
Ajouter au panierTo offer its shareholders a privilege to obtain its shares at a fixed price, which of the following product does a corporation issue? correct answer: Rights A customer has a cash balance in her account together with long positions in several securities. She has made no securities transactions in...
a company announces a tender offer to its shareholders with the intent to buy a maximum of 1 million shares of its outstanding stock at $10 per share and sets no minimum of shares to be purchased. An investor wants to participate in this offer and tenders his 1000 share position. At the close of the...
Aperçu 3 sur 26 pages
Ajouter au paniera company announces a tender offer to its shareholders with the intent to buy a maximum of 1 million shares of its outstanding stock at $10 per share and sets no minimum of shares to be purchased. An investor wants to participate in this offer and tenders his 1000 share position. At the close of the...
Business Cycle Order correct answer: Expansion, Peak, Contraction, Trough Notice Filing correct answer: A method of registering securities at the state level that is only for Federal Covered Securities Downturns in the business cycle or economic contractions are characterized by all of the f...
Aperçu 3 sur 22 pages
Ajouter au panierBusiness Cycle Order correct answer: Expansion, Peak, Contraction, Trough Notice Filing correct answer: A method of registering securities at the state level that is only for Federal Covered Securities Downturns in the business cycle or economic contractions are characterized by all of the f...
when a broker dealer charges a commission on a securities transaction, he is acting as: correct answer: an agent in the event of a stock split, who maintains a record of the shareholders eligible to receive additional shares? correct answer: transfer agent an associated person who is not a r...
Aperçu 2 sur 13 pages
Ajouter au panierwhen a broker dealer charges a commission on a securities transaction, he is acting as: correct answer: an agent in the event of a stock split, who maintains a record of the shareholders eligible to receive additional shares? correct answer: transfer agent an associated person who is not a r...
What is a "market, not-held" order? correct answer: Customer allows the rep to use her own judgement as to the price and time at which the transactions will be executed What is the taxation for non-qualified variable annuities? correct answer: - Growth distributions are taxed How do you ca...
Aperçu 3 sur 19 pages
Ajouter au panierWhat is a "market, not-held" order? correct answer: Customer allows the rep to use her own judgement as to the price and time at which the transactions will be executed What is the taxation for non-qualified variable annuities? correct answer: - Growth distributions are taxed How do you ca...
Regular Way Settlement for Equities correct answer: T + 2 The First Day that a Buyer Buys Stock Without a Dividend correct answer: Ex-Dividend date The Last Day a Buyer Can Buy Stock and Receive the Dividend correct answer: business day before the ex-date When Ex-Dividend Date Happens Re...
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Ajouter au panierRegular Way Settlement for Equities correct answer: T + 2 The First Day that a Buyer Buys Stock Without a Dividend correct answer: Ex-Dividend date The Last Day a Buyer Can Buy Stock and Receive the Dividend correct answer: business day before the ex-date When Ex-Dividend Date Happens Re...
Do the following Investment Companies/Products offer continuous share offering or fixed share counts? Mutual Funds Closed-End Funds UIT ETF correct answer: Mutual Funds: Continuous Closed-End Funds: Fixed UIT: Fixed ETF: Fixed What Term signifies that a share of common stock can be free...
Aperçu 4 sur 88 pages
Ajouter au panierDo the following Investment Companies/Products offer continuous share offering or fixed share counts? Mutual Funds Closed-End Funds UIT ETF correct answer: Mutual Funds: Continuous Closed-End Funds: Fixed UIT: Fixed ETF: Fixed What Term signifies that a share of common stock can be free...
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