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SIE Chapter 1 Questions and Answers Already Passed What entities raise funds by issuing securities? Issuers are organizations that obtain capital by issuing securities. What are the main types of securities that issuers can release? Equity and debt instruments What does equity repre...

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  • August 1, 2024
  • 13
  • 2024/2025
  • Exam (elaborations)
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1 SIE Chapter 1 Questions and Answers Already Passed What entities raise funds by issuing securities? ✔✔ Issuers are organizations that obtain capital by issuing securities. What are the main types of securities that issuers can release? ✔✔ Equity and debt instruments What does equity represent? ✔✔ Equity signifies ownership in a corporation, typically in the form of stocks. How i s debt utilized by issuers? ✔✔ Debt involves the issuance of notes and bonds, which are promises to repay borrowed money, and can be issued by various types of organizations. Who serves as the intermediary between issuers and investors? ✔✔ Financial firms , such as broker -dealers (BDs) and investment advisers (IAs), facilitate transactions between issuers and investors. 2 What is the role of a dealer in financial transactions? ✔✔ A dealer acts on their own behalf in trades, taking on the risk and possibly earning a markup or markdown based on the transaction. How does a broker function in the financial market? ✔✔ A broker acts as a middleman, matching buyers and sellers without taking on risk, and earns a commission for their service. What do the terms "markup" and "markdown" refer to? ✔✔ Markup: When the firm sells to a client at a price higher than the cost. ✔✔ Markdown: When the firm buys from a client at a price lower than the market value. What is the investment banking division within a broker -dealer firm responsible for? ✔✔ The investment banking division collaborates with issuers to structure and manage securities offerings. They also handle mergers and acquisitions, pr ivate equity, debt, and equity capital markets, and corporate restructuring. What tasks does the research department in a broker -dealer perform?

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