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SIE Finra Questions with 100% Correct Answers
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SIE Finra Questions with 100% Correct Answers The redemption value of an open-ended investment company's shares is based on the: - Answer️️ -Net assest value computed afdter the order is recieved An associated person who is not a registered representative is permitted to engage in which of...

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  • September 25, 2024
  • 10
  • 2024/2025
  • Exam (elaborations)
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  • sie finra questions with 100 correct answers

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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024

SIE Finra Questions with 100% Correct
Answers

The redemption value of an open-ended investment company's shares is based on the:

- Answer✔️✔️-Net assest value computed afdter the order is recieved


An associated person who is not a registered representative is permitted to engage in

which of the following activities? - Answer✔️✔️-Provide account opening forms to a new

customer

A decline in the gross domestic product (GDP) must last for at least how many quarters

to be considered a recession? - Answer✔️✔️-2 quarters

When is interest on Treasury notes paid? - Answer✔️✔️-Semiannually

Which of the following communications with the public is considered misleading? -

Answer✔️✔️-Literature providing 10-year performance information to support predictions

of future performance

Which of the following stakeholders has first claim priority in a chapter 11 proceeding? -

Answer✔️✔️-Secured debt holders

The last transaction in xyz 5.50s 2030 was at 102. This bond is selling at: - Answer✔️✔️-

A premium

All of the following risks apply to both foreign and domestic debt instruments except: -

Answer✔️✔️-Exchange

1/10

, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
Under FINRA rules, which of the following activities by a registered representative

require written notification to her firm? - Answer✔️✔️-Driving part time for a transportation

network company on weekends

Which of the following investment risks is the greatest risk in a variable life insurance

policy? - Answer✔️✔️-Market risk

Which of the following products is adversely impacted if the issuer's credit rating is

downgraded? - Answer✔️✔️-Exchange-traded notes (ETNs)

Which of the following forms U4 reportable events results in a statutory disqualification?

- Answer✔️✔️-A felony conviction for a driving under the influence (DUI) charge

In the event of a stock split, which of the following parties is required to maintain a

record of the shareholders eligible to receive the additional shares? - Answer✔️✔️-

Transfer agent

A firm is a participant in a public offering. To sell a substantial amount of the securities

to its customers, the firm agrees to repurchase the shares at no less than the original

sales price. Such agreements are: - Answer✔️✔️-Prohibited as fraudulent and

manipulative

At the time of issuance, which of the following securities normally has the longest period

to expiration? - Answer✔️✔️-Warrants

The call provision of a bond stipulates which of the following factors? - Answer✔️✔️-Call

date and call price


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