SIE Exam Practice Questions and Answers (100% pass)
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Course
SIE
Institution
SIE
SIE Exam Practice Questions and Answers (100% pass)
growth companies typically do not pay a _____________ - Answer️️ -dividend
statutory voting - Answer️️ -allows stockholder only the amount of votes they
have towards each BOD position.
Ex: An investor has 100 shares, 3 BOD position ope...
trading and valusing stocks do/do not affect a warrants price - Answer✔️✔️-do not
forward stock split - Answer✔️✔️-stock split if the price is believed to be too high
reverse stock split - Answer✔️✔️-stock split if price is believed to be too low
primary market: - Answer✔️✔️-issuers offer securities to investors in return for
capital
institutional investor - Answer✔️✔️-a single entity investing on behalf of a group of
clients(ex: hedge fund, mutual funds, banks).
Primary distribution: - Answer✔️✔️-a security is sold & the issuer receives the
proceeds
Secondary distribution - Answer✔️✔️-a security is sold, but a party other then the
issues receives the sale proceeds
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