SIE Chapter 1 3 Exam (elaborations) SIE Chapter 1 4 Exam (elaborations) SIE Chapter 1: Equity Securities 5 Exam (elaborations) SIE STC chapter 1 6 Exam (elaborations) SIE: Chapter 1 7 Exam (elaborations) SIE - Chapter 1 8 Exam (elaborations) FINRA

Enforcement Bodies - answer-Securities and Exchange Commission, FINRA Federal Reserve determines - answer-which securities are marginable. Enforcement is performed by FINRA. - answer-MSRB writes rules for municipal market participants FINRA is the regulator for all of the securities markets...

FINRA Takeover - answer-FINRA is in the process of writing a harmonized single set of rules. At this point in the beginning of 2014, many of the rules have been redone, but others are still a work-in-progress. Until the rulebook is completely harmonized, FINRA is enforcing the "old" NYSE and NASD ...

The redemption value of an open-ended investment company's shares is based on the: - answer-Net assest value computed afdter the order is recieved An associated person who is not a registered representative is permitted to engage in which of the following activities? - answer-Provide account ope...

Upon Expiration, all in-the-money S&P 100 Index call options are settled by the delivery of which of the following? - answer-Cash Which of the following statements is true about treasury stock? - answer-It is issued stock that has been subsequently reacquired by the corporation In the event of...

issuer - answer-a legal entity that sells securities in order to finance its operations Who is an issuer? - answer-The U.S. Treasury and various U.S. government agencies, Foreign governments, State and local governments, Corporations, Banks What are two primary methods that issuers use to rais...

Primary purpose of securities - answer-match investors with issuers, provide bridge for those that need capital and those that have it Issuer - answer-legal entity that sells securities to finance it's operations, including: Treasury Foreign gov'ts State and local gov'ts Corporations Ban...

What is an ECN? - answer-Electronic Communication Network; any one of several systems which permit the entry and dissemination of quotes List some responsibilities of a transfer agent - answer-Issue and cancel securities, pay dividends and interest, mail shareholder reports, handle lost or stolen...

What is an ECN? - answer-Electronic Communication Network; any one of several systems which permit the entry and dissemination of quotes List some responsibilities of a transfer agent - answer-Issue and cancel securities, pay dividends and interest, mail shareholder reports, handle lost or stolen...

Prime Broker - answer-It may execute and clear transactions, and may also provide securities lending services to a hedge fund A municipal advisor provides advice to which of the following? - answer-a local town that intends to issue securities A broker-dealer acting in an agency capacity will ...

SIE Chapter 1

a negotiable instrument issued by a US bank that trades in the US financial markets and represents shares of a foreign stock - answer-American Depositary Receipt (ADR) the price a seller is willing to accept for a security - answer-Ask price the price a buyer is willing to accept for a securit...