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Exam (elaborations)

Finra SIE Exam 2024 Questions & Answers 100% Correct!!
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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 -N...

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  • October 18, 2024
  • 13
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • finra sie exam 2024 questions answers 100 corre
  • exempt securities from sec registration answer s

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Finra SIE Exam 2024 Questions &
Answers 100% Correct!!

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

-Notes, bills of exchange, bankers acceptances and commercial paper with an initial maturity of 270
days or less

-Insurance policies and fixed annuities



Exempt Transactions from SEC Registration - ANSWER-Intrastate offerings (required at state level)

-Regulation A offerings (<$5m within 12 mo. period)

-Regulation D offerings (aka private placement) (no more than 35 unaccredited investors per year)



T-Bills - ANSWERMaturity: 4-52 weeks

Issued at a discount and matures at par. Difference between purchase price and par is considered
interest.



T-Notes - ANSWERMaturity: 2-10 years

Pays interest semi-annually

Considered Intermediate



T-Bonds - ANSWERMaturity: 30 years

Pay interest semi-annually



T-STRIPS - ANSWERMaturity: 6 months to 30 years

, Issued at a discount and mature at par



FCS - ANSWER(Farm Credit System)

-Lending institutions that provide financing to farmers.

-Sells securities and loans it to farmers



SLMA - ANSWER(Student Loan Marketing Association)

-Provides a secondary market for student loans

-Purchases student loans and sells them as short and medium debt securities to investors



Repurchase Agreements - ANSWERshort-term sales of government securities (usually t-bills) with an
agreement to repurchase the securities at a higher price



Corporate Commercial Paper - ANSWER-Unsecured corporate debt

-Issued at discount and matures at par

-Matures at 270 days or less

-Exempt from SEC registration



Eurodollars - ANSWERUS dollars deposited in foreign banks outside the United States



Banker's Acceptance (BA) - ANSWER-a short term credit investment created by a company whose
payment is guaranteed by a bank.

-used for importing/exporting



G.O. Bonds - ANSWER-Municipal bonds that are backed by the "full faith and credit" (tax power) of
the issuer.

-Require voter approval

-Higher ratings and lower yields than revenue bonds



IDR (Industrial Development Revenue Bond) - ANSWER-Backed by lease payments made by
corporation

-credit rating derived from credit rating of the corporation

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