Exam (elaborations)
SIE PRACTICE EXAM. QUESTIONS WITH VERIFIED SOLUTIONS
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SIE PRACTICE EXAM. QUESTIONS WITH VERIFIED SOLUTIONS SIE PRACTICE EXAM. QUESTIONS WITH VERIFIED SOLUTIONS
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SIE PRACTICE EXAM. 2024-2025 QUESTIONSWITH VERIFIED SOLUTIONS
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 what part of
the money supply? - CORRECT ANSWER M3
By purchasing shares of stock in a company, investors can benefit from which of the
following?
An increase in the price of the shares
An increase in price of the company's debt securities
An increase in the yield of the company's outstanding debt securities
The receipt of profits to be distributed - CORRECT ANSWER An Increase in price of
shares and The receipts of profit to be distributed
An offering in which one or more stockholders in the corporation are selling all or a
portion of their own shares to the investing public for the first time is known as -
CORRECT ANSWER a secondary offering
Which of the following is an example of an unsecured debt security?
Debenture
Preferred stock
, SIE PRACTICE EXAM. 2024-2025 QUESTIONS
WITH VERIFIED SOLUTIONS
Mortgage bond
Income bond - CORRECT ANSWER Debenture and Income bond
Mutual funds that market directly to the public, using no underwriter and charging no
sales charge, are called - CORRECT ANSWER No load funds
During the cooling-off period, underwriters of new securities may
accept orders to purchase shares
not accept orders to purchase shares
not accept indications of interest regarding potential purchases of shares
accept indications of interest regarding potential purchases of shares - CORRECT
ANSWER not accept orders to purchase shares and accept indications of interest
regarding potential purchase of shares
The USA PATRIOT Act's required Customer Identification Program is designed chiefly to
prevent
real estate fraud
funding of terrorist activities
use of insider information
money laundering - CORRECT ANSWER funding of terrorist activity and money
laundering
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