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SIE Practice Exam Question & Answers (UPDATE).docx
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SIE Practice Exam Question & Answers(UPDATE)
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 Answers ✅✅Statutory voting
What market refers to the trading of exchange-listed securities in the
over-the-counter market? These trades allow institutional investors to
trade blocks of securities directly, rather than through an exchange,
providing liquidity and anonymity to buyers. - Correct Answers
✅✅Third market
An investor sells a naked call on Omikron for a $250 premium. What is
true regarding the investors position? - Correct Answers ✅✅The
investor's potential loss is unlimited
Which act created the SEC and empowered it with broad authority over
all aspects of the securities industry? - Correct Answers
✅✅Securities Exchange Act of 1934
A free tool provided by FINRA that is intended to help consumers
research the professional backgrounds of brokers and brokerage firms,
as well as investment advisor firms and advisors? - Correct Answers
✅✅BrokerCheck
The Federal Reserve Board performs what actions? - Correct Answers
✅✅It sets monetary policy, but does not set tax policy
, SIE Practice Exam Question & Answers
(UPDATE)
An offering of shares to existing stockholders on a pro-rata basis is
called a - Correct Answers ✅✅Rights offering
The difference between a bond's price and the conversion parity price
is referred to as - Correct Answers ✅✅conversion premium
An individual who meets what criteria must register as an investment
adviser? - Correct Answers ✅✅The individual provides advice or
analyses concerning securities
The individual is in the business of providing investment advice
The individual provides investment advice for compensation
A type of preferred stock that gives the investor the right to receive
dividends equal to the normally specified rate, as well as an additional
dividend based on a specific predetermined condition is called a -
Correct Answers ✅✅participating preferred stock
Profit sharing plans have what characteristic? - Correct Answers
✅✅they can be invested entirely in company stock
What is true regarding the Central Registration Depository (CRD)? -
Correct Answers ✅✅It was developed by NASAA and the NASD
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