75 sie finra - Study guides, Class notes & Summaries
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SIE practice exam questions and answers latest top score.
- Exam (elaborations) • 7 pages • 2023
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SIE practice exam questions and answers latest top score. 
 
 
 
 
 
 
 
 
 
 
 
A customer writes an MMM January 70 put at 6. The maximum potential gain on this position is - correct answers.600 
 
Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is - correct answers.7300 
 
Large time deposits of more than $100,000 are considered to be found in what part of the money supply? - correct answers.M3 
 
By purchasing shares of stock in a company, investors can ben...
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FINRA SIE Practice Test Latest 2023 /75 Questions With Verified Answers (A+)
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FINRA SIE Practice Test Latest 2023 /75 Questions With Verified Answers (A+)
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SIE Exam Preview/Recap. 100% Coverage. Comprehensive, Guaranteed understanding.
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SIE Exam Preview/Recap. 100% Coverage. Comprehensive, Guaranteed understanding. 
 
purpose of securities industry - matching investors with money to issuers that need that money to finance 
 
issuer - legal entity that sells securities in order to finance its operations (business, governments) ie. us treasury, us gov agencies, foreign governments, state and local governments, corps, banks 
 
methods issuers use to raise capital - 1) issue debt securities (bonds) and 2) issues equity securities (...
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Exam FX, SIE Study Guide, Chapter 1, Questions & Answers, graded A+, Verified.
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Exam FX, SIE Study Guide, Chapter 1, Questions & Answers, graded A+, Verified. 
 
 
An IRA uses immediate annuity to pay out benefits; the IRA Owner is nearly 75 years old when he decides to collect distributions. What kind of penalty with the IRA owner pay? - -50% tax on the amount not distributed as required. 
(When immediate annuity's are used to pay IRA benefits, Distributions must begin no later than age 70 1/2 in order for the annuitant to avoid penalties.) 
 
Most Long-term care (LTC) pl...
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SIE Exam Questions & Answers. Verified 100% Correct. Exam Predictor!!
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SIE Exam Questions & Answers. Verified 100% Correct. Exam Predictor!! 
 
 
 
Do common stock holders have to right to inspect all books of a company? - -No, only certain items suchs as the income statement and balance sheet 
 
Order of asset distribution - -Taxes 
Secured debt 
Unsecured debt 
Preferred stock holders 
Common stock holders 
 
What type of corporate security is considered the riskiest? - -Common stock 
 
Of all securities, common stock has historically - -Provided the best hedge a...
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SIE practice exam Questions with Accurate answers. Verified 100%.
- Exam (elaborations) • 9 pages • 2023
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SIE practice exam Questions with Accurate answers. Verified 100%. 
 
 
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 ...
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75 SIE Practice Exam Questions with Correct Answers
- Exam (elaborations) • 7 pages • 2023
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75 SIE Practice Exam Questions with Correct Answers 
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. >&g...
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FINRA SIE Practice Test| 75 Questions| With Complete Solutions
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FINRA SIE Practice Test| 75 Questions| With Complete Solutions
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75 SIE FINRA Practice EXAM Questions and Answers
- Exam (elaborations) • 14 pages • 2024
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UTMA Accounts are opened under the tax ID of the: 
A. Minor 
B. Donor 
C. Parent 
D. Custodian >>>A. Minor 
A customer buys 1 ABC Jan 35 put for a premium of $3 and simultaneously buys 100 
shares of ABC stock for $35 per share. The customer will break even when the stock is 
selling at what price per share at expiration? 
A. $3 
B. $32 
C. $35 
D. $38 >>>D. $38 
The owner of which of the following products is MOST exposed to inflationary risk? 
A. Utility Stocks 
B. Treasury b...
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75 SIE FINRA Practice EXAM Questions and Answers
- Exam (elaborations) • 14 pages • 2023
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75 SIE FINRA Practice EXAM Questions 
and Answers 
UTMA Accounts are opened under the tax ID of the: 
A. Minor 
B. Donor 
C. Parent 
D. Custodian >>>A. Minor 
A customer buys 1 ABC Jan 35 put for a premium of $3 and simultaneously buys 100 
shares of ABC stock for $35 per share. The customer will break even when the stock is 
selling at what price per share at expiration? 
A. $3 
B. $32 
C. $35 
D. $38 >>>D. $38 
The owner of which of the following products is MOST exposed t...
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