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FINRA SIE Practice Exam 150 Questions with Verified Answers

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Comprehensive SIE Practice Exam - Complete Solutions (Answered) The primary purpose of a syndicate desk in the context of an equity offering is to: build an order book and allocate the stock Which of the following responses describes an advantage of index funds? Lower management fees due to passive management of the fund Which of the following comparisons best describes the essential difference between a primary distribution and a secondary distribution? A primary distribution involves a sale ...

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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FINRA SIE Practice Exam 140 Questions with Verified Answers

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...

FINRA SIE Practice Exam Questions and answers latest update

Primary vs. Secondary Distribution A primary distribution involves a sale of newly issued shares by the issuer while a secondary distribution involved the sale of already issued and outstanding shares. In the OTC market, the term "spread" refers to the diff. between: Bid and asked prices offered and asked prices indicated and firm prices opening and closing prices Bid and asked prices Margin account requirements: Initial transaction: 50% or min. of $2,000 Maintenance Margin: 25% ...

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