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SIE Practice Exam NEWEST 2025/2026 ACTUAL EXAM COMPLETE QUESTIONS AND CORRECT DETAILED ANSWERS (VERIFIED ANSWERS) |ALREADY GRADED A+||BRAND NEW!!$13.49
_______ Recovery - ANS-Expansion
________ GDP at its highest point - ANS-Peak
_________ Utilization at its lowest degree - ANS-Trough
A currency transaction record is a report that US economic establishments are required to
record with - ANS-FinCEN
(Financial Crime Exchange Network)
A constant earnings safety is issue to what dangers? - ANS-Exchange fee risk
shopping energy threat
default risk
liquidity risk
reinvestment threat
A fraudulent investment operation wherein the operator presents fabricated reports and
generates investment returns for older buyers thru sales paid by using new investors, rather
than from legitimate business activities or profits of financial buying and selling is known as a -
ANS-Ponzi scheme
A unfastened tool supplied via FINRA that is meant to help consumers studies the expert
backgrounds of brokers and brokerage companies, as well as funding guide companies and
advisors? - ANS-BrokerCheck
A massive interest price trade has the maximum sizeable effect on a _______ bond - ANS-low
coupon
A mutual fund that invests in securities both outside and inside america is referred to as -
ANS-Global fund
A observe issued wherein the government borrows cash to finance a assignment after which
repays creditors with revenue generated by the identical assignment is known as - ANS-RAN
(Revenue Anticipation Note)
A change surplus outcomes from - ANS-a rustic exporting greater than it imports
A type of desired inventory that gives the investor the right to get hold of dividends identical to
the commonly precise rate, as well as a further dividend based totally on a particular
predetermined situation is called a - ANS-taking part favored stock
A sort of public providing auction in which the rate of the offering is ready after taking in all bids
to decide the very best price at which the entire supplying may be bought is called the -
ANS-Dutch Auction
All are traits of a REIT EXCEPT - ANS-it's far a publicly traded open-cease funding employer
(it's miles closed-end)
All however which of the following are correct concerning stock market benchmarks and
indexes? - ANS-the S&P 500 is a rate-weighted index
, (The NASDAQ Composite, Russell 2000, S&P 500, and the Wilshire 5000 are all
value-weighted indexes)
An advertisement utilized by check in funding agencies that propose readers to achieve a
complete prospectus is known as ________
It isn't always accepted to include an application to make investments, and it have to contain
specific caveats pursuant to SEC Rule 482 - ANS-Omitting prospectus
An individual who meets what criteria should check in as an funding adviser? - ANS-The
character provides advice or analyses regarding securities
The person is within the business of presenting funding recommendation
The character offers funding advice for repayment
An investor sells a bare name on Omikron for a $250 top class. What is true concerning the
investors role? - ANS-The investor's capacity loss is unlimited
An investor who believes that an financial recession is forthcoming can buy which sort of
inventory? - ANS-Defensive stock due to the fact they generally tend to outperform for the
duration of monetary downturns
An IRA need to be created and funded by means of ________ of the calendar yr following the
12 months wherein the contribution applies. - ANS-April 15
An offering of stocks to current stockholders on a seasoned-rata basis is referred to as a -
ANS-Rights supplying
An order to promote a stock at a rate beneath the modern marketplace price is referred to as a -
ANS-promote forestall order
An unconditional contract among a bond provider and a bond holder that specifies the terms of
the bond is called a - ANS-indenture
An unconditional promise to pay a sum of money to a payee, either at a set or determinable
destiny time, below particular phrases is known as a - ANS-Promissory be aware
Common stock is called _______ due to the fact the proprietor of the inventory is likewise an
proprietor of the business enterprise and might participate in its capital and earnings boom -
ANS-fairness
Diversification smooths price volatility, ancient above-inflation go back, can preserve shopping
strength in a portfolio - ANS-Mutual Fund
Fixed return, may additionally lose price if now not held till maturity, fixed hobby bills -
ANS-company bond
How is the net asset cost (NAV) of a mutual fund calculated? - ANS-NAV=(Total price of funding
- liabilities) / stocks extraordinary
If actual GDP declined the last three quarters, how many greater consecutive quarters of
decline might be needed to be labeled as an financial depression? - ANS-3 quarters
in 2017, the SEC followed an amendment to the Settlement Cycle Rule under the Securities
Exchange Act of 1934 that modified the standard agreement cycle for maximum
broking-provider transactions in what way? - ANS-The standard settlement cycle changed into
shortened from 3 business days after the exchange (T+3) to 2 business days after the trade
(T+2)
In addition to the federal securities legal guidelines, each state has its own set of securities legal
guidelines, typically referred to as ______, which are designed to guard buyers in opposition to
fraudulent sales practices and sports - ANS-Blue Sky Laws
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