Fund and etf - Studienführer, Klassennotizen & Zusammenfassungen

SIE Mastery Exam I Study Guide With Accurate Solutions. Common Stock - answerNegotiable Not Callable Not Convertible Not Redeemable Common Dividends - answerDeclared Quarterly Paid Quarterly Preferred Stock - answerNegotiable Callable Convertible Cumulative Participating Preferred Dividends - answerPaid Semi-Annually Cash Only Equity Ownership of a Corporation - answerAny... Common Stock Preferred Stock Treasury Stock - answerIssued shares minus outstanding shares Management C...

SIE mastery Exam Questions With Accurate Answers. Which statement is TRUE when comparing types of management companies? - answerOpen-end funds are mutual funds while closed-end funds are publicly traded funds Which of the following is NOT part of the secondary market? - answerFifth Market The term "publicly traded fund" is the common name for a(n) - answerclose ended management company Which of the following is a redeemable security? - answerOpen-end fund American Depositary Receipts w...

SIE Mastery Exam Practice Questions With Accurate Answers. Which of the following investments typically carries significant liquidity risk? A) T-bills B) Limited partnership C) Listed equities D) Mutual funds - answerB) Limited partnership Limited partnerships are not freely transferable and have no established secondary market. With an LP, assume you will own it through the life of the program. All the others listed have active secondary markets and are very liquid. Diversifying a por...

FHCE 3200 Exam 3 Quiz Questions with 100% Correct Answers TRUE or FALSE: A Roth IRA qualifies for the IRA tax deduction found on the 1040 tax form. a. TRUE b. FALSE - Answer- b. FALSE Erin, a good friend of yours, would like to transfer a boat she inherited to her nephew who is 9 years of age. She heard that there is a way to go about doing this but is unsure. What type of custodial account will she need? a. Universal Transfer to Minors Act b. Universal Bequest to Minors Act c. Univer...

Chapter 23 Exam Questions With Verified Answers A client holds a passively managed ETF wrap account. Due to market declines, the account has diverged from the set asset allocation. The manager anticipates market increases in the oil and gas sector in the next three months. What action will be taken in the wrap account? A. None. B. Rebalancing to the original asset allocation. C. Actively overweighting in the oil and gas sector. D. Increasing cash to take advantage of upcoming investment ...

STC SIE Exam Final Practice Questions All Answers Correct 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 index ️A. A client's number of annuity units never changes Which of the following securities would be subject to federal securitie...

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 - TAXATION ON ACCUMULATION - Taxation on withdrawals - Taxation on contribution The term for active stock that represents the number of shares owned by the public is correct answer: Outstanding stock ...

Financial Asset correct answers A claim (rather than physical possession of a tangible asset) usually documented by legal instrument. Financial Risk correct answers Occurs when a firm uses too much financial leverage (high debt to asset ratio) and risks bankruptcy. Liquidity correct answers The capacity of an investment to be retired for cash in a short period. financial liquidity correct answers measured by how fast an asset can be converted into cash financial risk correct answers ...

2024 SIE Exam - Complete Solutions (Answered) An investor purchased 100 units of the Connecticut Municipal Securities Trust. Which of the following statements concerning this investment in the UIT is accurate? A The shares must be liquidated in the open market and offer reinvestment provisions back into the trust B The shares are redeemable and offer reinvestment provisions back into the trust C The shares are redeemable but do not offer reinvestment provisions back into the trust D The shares...

Cumulative Return - Answer The cumulative return is the total change in the investment price over a set time—an aggregate return, not an annualized one. (price[t]/price[0]) - 1 normalization from when stock was purchased Daily return - Answer (Today's stock price[t]/yesterday's stock price[t - 1]) - 1 sharpe ratio formula - Answer s = sqrt(252) * mean(daily_ret - daily_riskFree) / std(daily_ret - daily_riskFree) limit order - Answer A limit order is an order to buy o...