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SIE Practice Exams Pack | Questions & 100% Correct Answers (Verified) | Latest Update | Grade A+
SIE Practice Exams Pack | Questions & 100% Correct Answers (Verified) | Latest Update | Grade A+
[Show more]SIE Practice Exams Pack | Questions & 100% Correct Answers (Verified) | Latest Update | Grade A+
[Show more]An individual who has been previously registered with another firm is applying for 
registration with a new member firm. The new member firm has requested the Form U5 
from the applicant. Within how many days must the applicant provide the Form U5 from 
his previous registration? 
: 2 business da...
Preview 3 out of 21 pages
Add to cartAn individual who has been previously registered with another firm is applying for 
registration with a new member firm. The new member firm has requested the Form U5 
from the applicant. Within how many days must the applicant provide the Form U5 from 
his previous registration? 
: 2 business da...
a company announces a tender offer to its shareholders with the intent to buy a 
maximum of 1 million shares of its outstanding stock at $10 per share and sets no 
minimum of shares to be purchased. An investor wants to participate in this offer and 
tenders his 1000 share position. At the close ...
Preview 4 out of 34 pages
Add to carta company announces a tender offer to its shareholders with the intent to buy a 
maximum of 1 million shares of its outstanding stock at $10 per share and sets no 
minimum of shares to be purchased. An investor wants to participate in this offer and 
tenders his 1000 share position. At the close ...
The Securities & Exchange Commission (SEC) was created by Congress in 
A 1929 
B 1933 
C 1934 
D 1940 
: 1934 
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 
2 | P a g e 
B The fact that unregis...
Preview 4 out of 37 pages
Add to cartThe Securities & Exchange Commission (SEC) was created by Congress in 
A 1929 
B 1933 
C 1934 
D 1940 
: 1934 
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 
2 | P a g e 
B The fact that unregis...
A customer writes an MMM January 70 put at 6. The maximum potential gain on this 
position is 
: 600 
Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is 
: 7300 
Large time deposits of more than $100,000 are considered to be found in what part of 
the money supp...
Preview 3 out of 17 pages
Add to cartA customer writes an MMM January 70 put at 6. The maximum potential gain on this 
position is 
: 600 
Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is 
: 7300 
Large time deposits of more than $100,000 are considered to be found in what part of 
the money supp...
A corporation can avoid registration requirements in the issuance of securities by 
engaging in a price placement under 
: Regulation D 
All of the Following are difference between qualified and non qualified retirement plans 
EXCEPT 
: - IRS approval requirement 
- TAXATION ON ACCUMULATION 
- Tax...
Preview 4 out of 81 pages
Add to cartA corporation can avoid registration requirements in the issuance of securities by 
engaging in a price placement under 
: Regulation D 
All of the Following are difference between qualified and non qualified retirement plans 
EXCEPT 
: - IRS approval requirement 
- TAXATION ON ACCUMULATION 
- Tax...
1. Under normal circumstances, a customer's LOI on a mutual fund purchase is valid for 
what amx period time? 
A. 3 months 
B. 6 months 
C. 13 months 
24 months 
: C. 13 months 
FinCEN accomplishes its mission to safeguard the financial system from the abuses of 
financial crime, including terror...
Preview 2 out of 11 pages
Add to cart1. Under normal circumstances, a customer's LOI on a mutual fund purchase is valid for 
what amx period time? 
A. 3 months 
B. 6 months 
C. 13 months 
24 months 
: C. 13 months 
FinCEN accomplishes its mission to safeguard the financial system from the abuses of 
financial crime, including terror...
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