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SIE Exam Practice Questions and Answers (100% Pass)
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SIE Exam Practice Questions and Answers (100% Pass) The maximum annual contribution in a Roth IRA is - Answer️️ -$6,000 What types of distributions from Roth IRA are tax free - Answer️️ -Qualified Are employee deferrals to the regular 401(k) pre-tax or post-tax? - Answer️️ - Pre-tax...

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  • August 31, 2024
  • 11
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • sie exam practice questions and answers 100 pass

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  • SIE
  • SIE

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©PREP4EXAMS2024/2025 REAL EXAMS DUMP Wednesday, August 7, 2024 9: 33 PM



SIE Exam Practice Questions and Answers (100% Pass)

The maximum annual contribution in a Roth IRA is - Answer✔️✔️-$6,000

What types of distributions from Roth IRA are tax free - Answer✔️✔️-Qualified

Are employee deferrals to the regular 401(k) pre-tax or post-tax? - Answer✔️✔️-
Pre-tax

Deferrals allocated to the Roth account are pre-tax or post-tax? - Answer✔️✔️-Post-
tax

In which type of transaction does the confirmation and settlement occur on the
trade date? - Answer✔️✔️-Cash

What name is given to a type of securities registration that allows the issuer to
make multiple offerings of equity or debt securities under the same prospectus? -
Answer✔️✔️-Shelf

A buyer is not responsible for paying a seller any accrued interest since the last
coupon payment in a bond that trades - Answer✔️✔️-Flat

Puts or calls of the same issuer share the same - Answer✔️✔️-Class

A customer that purchases closed-end fund shares may pay all of the following
EXCEPT - Answer✔️✔️-12b-1 fees

Under federal anti-money laundering regulations, a Suspicious Activity Report
(SAR) must be filed within how many days of the discovery of suspicious activity?
- Answer✔️✔️-30 calendar days




1

, ©PREP4EXAMS2024/2025 REAL EXAMS DUMP Wednesday, August 7, 2024 9: 33 PM


Marketable U.S. government instruments that have their principal amounts
adjusted to the Consumer Price Index to protect the holder against inflation are
called - Answer✔️✔️-TIPs

What does DNR stand for? - Answer✔️✔️-Do Note Reduce

A pre-packaged security that was created to meet specific investor needs that
cannot be met from standardized financial instruments available in the market
describes a(n) - Answer✔️✔️-Structured Product

When must an elderly person stop making contributions to a Traditional IRA? -
Answer✔️✔️-No limit

In margin accounts, broker-dealers charge customers a competitive rate of interest
on the amount borrowed, which is called - Answer✔️✔️-debit balance

All of the following risks are common with ADR ownership EXCEPT -
Answer✔️✔️-interest rate risk

How long is the holding period requirement for a Roth IRA, before making
withdrawls - Answer✔️✔️-5 years

In a unit investment trust, units are ______, and securities are ________ -
Answer✔️✔️-variable, fixed

Are warrants long-term or short-term compared to rights? - Answer✔️✔️-Long-term

In interest-bearing corporate bonds, accrued interest that is due the seller must be
included in settlement. According to industry rules, the accrued interest must be
calculated up to what date? (T+____) - Answer✔️✔️-T+1

ArePuerto Rico bonds are _____-tax-exempt - Answer✔️✔️-Triple




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