Exam (elaborations)
SIE PRACTICE QUESTIONS WITH VERIFIED SOLUTIONS
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SIE PRACTICE QUESTIONS WITH VERIFIED SOLUTIONS SIE PRACTICE QUESTIONS WITH VERIFIED SOLUTIONS
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SIE PRACTICE 2024-2025 QUESTIONS WITHVERIFIED SOLUTIONS
Which corporate voting procedures entitles a shareholder to one vote per share, and
votes must be divided evenly among the candidates being voted on? - CORRECT
ANSWER Statutory voting
What market refers to the trading of exchange-listed securities in the over-the-counter
market? These trades allow institutional investors to trade blocks of securities directly,
rather than through an exchange, providing liquidity and anonymity to buyers. -
CORRECT ANSWER Third market
An investor sells a naked call on Omikron for a $250 premium. What is true regarding
the investors position? - CORRECT ANSWER The investor's potential loss is
unlimited
Which act created the SEC and empowered it with broad authority over all aspects of the
securities industry? - CORRECT ANSWER Securities Exchange Act of 1934
A free tool provided by FINRA that is intended to help consumers research the
professional backgrounds of brokers and brokerage firms, as well as investment advisor
firms and advisors? - CORRECT ANSWER BrokerCheck
The Federal Reserve Board performs what actions? - CORRECT ANSWER It sets
monetary policy, but does not set tax policy
An offering of shares to existing stockholders on a pro-rata basis is called a -
CORRECT ANSWER Rights offering
, SIE PRACTICE 2024-2025 QUESTIONS WITH
VERIFIED SOLUTIONS
The difference between a bond's price and the conversion parity price is referred to as -
CORRECT ANSWER conversion premium
An individual who meets what criteria must register as an investment adviser? -
CORRECT ANSWER The individual provides advice or analyses concerning securities
The individual is in the business of providing investment advice
The individual provides investment advice for compensation
A type of preferred stock that gives the investor the right to receive dividends equal to
the normally specified rate, as well as an additional dividend based on a specific
predetermined condition is called a - CORRECT ANSWER participating preferred
stock
Profit sharing plans have what characteristic? - CORRECT ANSWER they can be
invested entirely in company stock
What is true regarding the Central Registration Depository (CRD)? - CORRECT
ANSWER It was developed by NASAA and the NASD
It consolidated a multiple paper-based state licensing and regulatory process into a
single, nationwide computer system
Its computerized database contains the licensing and disciplinary histories on more than
650,000 securities professionals and 5,200 securities firms
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