SIE
Capella University
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SIE Practice Exam | 75 Questions with 100% Correct Answers
- Exam (elaborations) • 7 pages • 2022
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Which corporate voting procedures entitles a shareholder to one vote per share, and 
votes must be divided evenly among the candidates being voted on? - 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. - Third 
market 
An investor sells a naked call on Omikron for a $250...
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SIE practice exam | 75 Questions with 100% Correct Answers
- Exam (elaborations) • 7 pages • 2022
-
- $7.49
- + learn more
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 supply? - M3 
By purchasing shares of stock in a company, investors can benefit from which of the 
following? 
An increase in the price of the shares 
An increase in price of the company's debt securities 
...
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SIE Practice Exam | 60 Questions with 100% Correct Answers
- Exam (elaborations) • 11 pages • 2022
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- $10.49
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Which of the following statements is true regarding the concept of an annuity contract? 
a) Payouts of an investment in a nonqualified annuity are all income tax-free 
b) The kind of annuity selected partly determines the payment amounts to the annuitant 
c) In the case of life annuity contracts, the age and sex of the annuitant do not affect the 
payment amounts 
d) The amounts of the periodic payments to the annuitant are determined by the 
performance of the insurance company's investment re...
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