SIE EXAM BUNDLE 2024 (COMPLETE PACKAGE)QUESTIONS & ANSWERS 100% ACCURATESIE EXAM BUNDLE 2024 (COMPLETE PACKAGE)QUESTIONS & ANSWERS 100% ACCURATESIE EXAM BUNDLE 2024 (COMPLETE PACKAGE)QUESTIONS & ANSWERS 100% ACCURATESIE EXAM BUNDLE 2024 (COMPLETE PACKAGE)QUESTIONS & ANSWERS 100% ACCURATESIE EXAM BU...
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What is the Marine Corp's Emblem? - ANSWER-The Eagle, Globe, & Anchor (EGA) What was the vision of the Navy and Marine Corps when develping the EGA (Eagle, Globe, and Anchor)? - ANSWER-Forward from the Sea How is Forward from the Sea represented in the Eagle, Globe, and Anchor on the FMF Warf...
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Add to cartWhat is the Marine Corp's Emblem? - ANSWER-The Eagle, Globe, & Anchor (EGA) What was the vision of the Navy and Marine Corps when develping the EGA (Eagle, Globe, and Anchor)? - ANSWER-Forward from the Sea How is Forward from the Sea represented in the Eagle, Globe, and Anchor on the FMF Warf...
What is the core responsibility of the FRB? - ANSWERTo Maintain Price Stability According to the Securities Act of 1933 compliance protocol, what information does a company have to disclose to its investors before the initial public offering? - ANSWERFinancial Statements and information about the o...
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Add to cartWhat is the core responsibility of the FRB? - ANSWERTo Maintain Price Stability According to the Securities Act of 1933 compliance protocol, what information does a company have to disclose to its investors before the initial public offering? - ANSWERFinancial Statements and information about the o...
Federal Reserve Board - ANSWERFounded on December 23rd 1913, to oversee financial panics. Independent of direct political influence. Federal Reserve Act was passed to stabilize prices, maximize employment, moderate long term interest. FINRA vs MSRB - ANSWERFINRA oversees brokerage firms and their a...
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Add to cartFederal Reserve Board - ANSWERFounded on December 23rd 1913, to oversee financial panics. Independent of direct political influence. Federal Reserve Act was passed to stabilize prices, maximize employment, moderate long term interest. FINRA vs MSRB - ANSWERFINRA oversees brokerage firms and their a...
How long is the quiet period for an add-on offering or APO - ANSWER3 days following the effective date Which of the following is NOT true regarding a nonqualified retirement plan? A. Excess over cost basis is taxed B. It can discriminate in offering its benefits and selecting participants C. I...
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Add to cartHow long is the quiet period for an add-on offering or APO - ANSWER3 days following the effective date Which of the following is NOT true regarding a nonqualified retirement plan? A. Excess over cost basis is taxed B. It can discriminate in offering its benefits and selecting participants C. I...
An investor owns 100 shares of XYZ common stock at the current market price of $50 per share. If XYZ conducts a 1-for-2 reverse stock split, the investor's post-split stock position will be: - ANSWER50 shares at $100 per share Under Federal Reserve Regulation T, a 90-day restriction is imposed w...
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Add to cartAn investor owns 100 shares of XYZ common stock at the current market price of $50 per share. If XYZ conducts a 1-for-2 reverse stock split, the investor's post-split stock position will be: - ANSWER50 shares at $100 per share Under Federal Reserve Regulation T, a 90-day restriction is imposed w...
Securities Act of 1933 - ANSWER-Paper act, prospectus act -Regulates new issues; requires registration of securities Securities and Exchange Act of 1934 - ANSWER-People and places act -Regulates BD's and associated persons; requires registration Antifraud provision; defined inside informatio...
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Add to cartSecurities Act of 1933 - ANSWER-Paper act, prospectus act -Regulates new issues; requires registration of securities Securities and Exchange Act of 1934 - ANSWER-People and places act -Regulates BD's and associated persons; requires registration Antifraud provision; defined inside informatio...
All of the following are terms associated with preferred stock EXCEPT? A Convertible B Callable C Cumulative D Redeemable - ANSWERD Redeemable What entity was created to maintain an electronic book entry record of stock ownership and to handle a high volume of daily transactions? ...
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Add to cartAll of the following are terms associated with preferred stock EXCEPT? A Convertible B Callable C Cumulative D Redeemable - ANSWERD Redeemable What entity was created to maintain an electronic book entry record of stock ownership and to handle a high volume of daily transactions? ...
Types of Capital Markets: Primary - ANSWERinsurer sells securities to raise capital Types of Capital Markets: Secondary - ANSWERtransactions between investors Public securities offering - ANSWERsecurities sold to the general public Private securities offering - ANSWERsecurities sold to priv...
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Add to cartTypes of Capital Markets: Primary - ANSWERinsurer sells securities to raise capital Types of Capital Markets: Secondary - ANSWERtransactions between investors Public securities offering - ANSWERsecurities sold to the general public Private securities offering - ANSWERsecurities sold to priv...
If interest Rates fall the issuer will most likely call which bonds first? - ANSWERHigh Dividend Rate preferred issues trading at a premium What are some actions by a corporation will affect an individuals common shareholder's equity - ANSWERConversion of convertible preferred stocks or bond ...
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Add to cartIf interest Rates fall the issuer will most likely call which bonds first? - ANSWERHigh Dividend Rate preferred issues trading at a premium What are some actions by a corporation will affect an individuals common shareholder's equity - ANSWERConversion of convertible preferred stocks or bond ...
The primary purpose of a syndicate desk in the context of an equity offering is to: - ANSWERbuild an order book and allocate the stock Which of the following responses describes an advantage of index funds? - ANSWERLower management fees due to passive management of the fund Which of the follow...
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Add to cartThe primary purpose of a syndicate desk in the context of an equity offering is to: - ANSWERbuild an order book and allocate the stock Which of the following responses describes an advantage of index funds? - ANSWERLower management fees due to passive management of the fund Which of the follow...
A customer writes an MMM January 70 put at 6. The maximum potential gain on this position is - ANSWER600 Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is - ANSWER7300 Large time deposits of more than $100,000 are considered to be found in what part of th...
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Add to cartA customer writes an MMM January 70 put at 6. The maximum potential gain on this position is - ANSWER600 Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is - ANSWER7300 Large time deposits of more than $100,000 are considered to be found in what part of th...
issuer - ANSWERan organization that distributes and sells securities to investors security - ANSWERlegal term for investment (stocks, bonds, mutual funds, options, ETFs) equity - ANSWERformal term for ownership two ways to make money on common stock - ANSWER1. capital appreciation/gains 2....
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Add to cartissuer - ANSWERan organization that distributes and sells securities to investors security - ANSWERlegal term for investment (stocks, bonds, mutual funds, options, ETFs) equity - ANSWERformal term for ownership two ways to make money on common stock - ANSWER1. capital appreciation/gains 2....
The redemption value of an open-end investment company's shares is based on the: previous offering price previous closing NAV NAV computed after the order is received offering price computed after the order is received - ANSWERNAV computed after the order is received The computation of dolla...
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Add to cartThe redemption value of an open-end investment company's shares is based on the: previous offering price previous closing NAV NAV computed after the order is received offering price computed after the order is received - ANSWERNAV computed after the order is received The computation of dolla...
The Securities & Exchange Commission (SEC) was created by Congress in A 1929 B 1933 C 1934 D 1940 - ANSWER1934 The Act of '34 created the SEC. The term 'disclaimer' is most often associated with A The fact that no agent can guarantee a customer against loss B The...
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Add to cartThe Securities & Exchange Commission (SEC) was created by Congress in A 1929 B 1933 C 1934 D 1940 - ANSWER1934 The Act of '34 created the SEC. The term 'disclaimer' is most often associated with A The fact that no agent can guarantee a customer against loss B The...
Section 1: Knowledge of Capital Markets - ANSWER The SEC purpose/mission when created jurisdiction authority - ANSWERprotect investos, maintin fair orderly & efficient markets, facilitate capital formation by congress in 1934 US federal government enforce federal security laws & cre...
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Add to cartSection 1: Knowledge of Capital Markets - ANSWER The SEC purpose/mission when created jurisdiction authority - ANSWERprotect investos, maintin fair orderly & efficient markets, facilitate capital formation by congress in 1934 US federal government enforce federal security laws & cre...
Which of the following Form U4 reportable events results in a statutory disqualification? - ANSWERA felony conviction for a DUI charge The computation of dollar prices and accrued interest on municipal bonds is normally on what calendar basis? - ANSWER30/360 Direct participation programs(DPPs)...
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Add to cartWhich of the following Form U4 reportable events results in a statutory disqualification? - ANSWERA felony conviction for a DUI charge The computation of dollar prices and accrued interest on municipal bonds is normally on what calendar basis? - ANSWER30/360 Direct participation programs(DPPs)...
A market maker is quoting a stock as follows: Bid 23.50, Offer 23.70. This means that the market maker will: -Sell shares at a price higher than 23.70 and buy shares at a price lower than 23.70 - Buy and sell shares at a price between 23.50 and 23.70 - Buy shares at 23.50 and sell shares at 23....
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Add to cartA market maker is quoting a stock as follows: Bid 23.50, Offer 23.70. This means that the market maker will: -Sell shares at a price higher than 23.70 and buy shares at a price lower than 23.70 - Buy and sell shares at a price between 23.50 and 23.70 - Buy shares at 23.50 and sell shares at 23....
What type of risk is unique to a specific industry, business enterprise, or investment type? - ANSWERNonsystematic risk Under which of the following circumstances is an investor in a position to acquire stock? - ANSWERBuy a call, sell a call (The holder of a call has the right to buy stock at the...
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Add to cartWhat type of risk is unique to a specific industry, business enterprise, or investment type? - ANSWERNonsystematic risk Under which of the following circumstances is an investor in a position to acquire stock? - ANSWERBuy a call, sell a call (The holder of a call has the right to buy stock at the...
Raising Capital - ANSWER-Businesses can raises capital by selling securities -But an offer or sale of any security must either be: 1. Registered with the SEC 2. Conducted under an exemption Securities Act of 1933 - ANSWER-General Rule: Securities must be registered for lawful public sale, unle...
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Add to cartRaising Capital - ANSWER-Businesses can raises capital by selling securities -But an offer or sale of any security must either be: 1. Registered with the SEC 2. Conducted under an exemption Securities Act of 1933 - ANSWER-General Rule: Securities must be registered for lawful public sale, unle...
Bid - ANSWERRepresents a clients selling price - This is the price at which the MM will buy dealer to dealer markets - ANSWERNASDAQ -Non-physical; phone and computer network - Negotiated market - unlimited number of registered "market makers" -Classified as a securities exchange OTCBB ...
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Add to cartBid - ANSWERRepresents a clients selling price - This is the price at which the MM will buy dealer to dealer markets - ANSWERNASDAQ -Non-physical; phone and computer network - Negotiated market - unlimited number of registered "market makers" -Classified as a securities exchange OTCBB ...
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 infla...
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Add to cartWhich 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 infla...
Exempt Securities from SEC Registration - ANSWER-securities listed by the U.S. or federal agencies -Municipal Bonds -Securities issued by banks, savings institutions and credit unions -Public utility stocks or bonds -Securities issued by religious, educational or nonprofit organizations -No...
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Add to cartExempt Securities from SEC Registration - ANSWER-securities listed by the U.S. or federal agencies -Municipal Bonds -Securities issued by banks, savings institutions and credit unions -Public utility stocks or bonds -Securities issued by religious, educational or nonprofit organizations -No...
SEC- - ANSWERSecurities and exchange commission is the securities industry's primary regulatory body. Which act created the SEC? - ANSWERThe securities exchange act of 1934 What is the purpose of registering with the SEC - ANSWERIf you conduct securities business with either customers or br...
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Add to cartSEC- - ANSWERSecurities and exchange commission is the securities industry's primary regulatory body. Which act created the SEC? - ANSWERThe securities exchange act of 1934 What is the purpose of registering with the SEC - ANSWERIf you conduct securities business with either customers or br...
12b-1 fee - ANSWERan annual fee charged by a mutual fund for its marketing and distribution costs. Also called a maintenance fee or distribution fee. 529 College Savings Plan - ANSWERA tax-free savings plan that offers families professionally managed portfolios to help meet specified college expe...
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Add to cart12b-1 fee - ANSWERan annual fee charged by a mutual fund for its marketing and distribution costs. Also called a maintenance fee or distribution fee. 529 College Savings Plan - ANSWERA tax-free savings plan that offers families professionally managed portfolios to help meet specified college expe...
The Federal regulatory body that governs the securities industry is the? - ANSWERSecurities and Exchange commission A fully disclosed broker-dealer - ANSWERIs an intermediary between the buy and sell sides of a transaction An intermediary between the buy and sell sides of a transaction is know...
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Add to cartThe Federal regulatory body that governs the securities industry is the? - ANSWERSecurities and Exchange commission A fully disclosed broker-dealer - ANSWERIs an intermediary between the buy and sell sides of a transaction An intermediary between the buy and sell sides of a transaction is know...
An investor purchases 1 ABC Jan 45 Call @ $3. The investor subsequently exercises his option contract. The holder has the right to: A. buy stock at $45 per share B. buy stock at $48 per share C. sell stock at $45 per share D. sell stock at $48 per share - ANSWERA. buy stock at $45 per share ...
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Add to cartAn investor purchases 1 ABC Jan 45 Call @ $3. The investor subsequently exercises his option contract. The holder has the right to: A. buy stock at $45 per share B. buy stock at $48 per share C. sell stock at $45 per share D. sell stock at $48 per share - ANSWERA. buy stock at $45 per share ...
1933 Securities Act (Paper Act) - ANSWERsets forth accounting and disclosure requirements for initial offerings of securities (stocks and bonds) 1934 Securities and Exchange Commission (SEC) - ANSWERSupervised the country's Stock Commission Exchanges and eliminated dishonest practices Malon...
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Add to cart1933 Securities Act (Paper Act) - ANSWERsets forth accounting and disclosure requirements for initial offerings of securities (stocks and bonds) 1934 Securities and Exchange Commission (SEC) - ANSWERSupervised the country's Stock Commission Exchanges and eliminated dishonest practices Malon...
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