Sie exam study - Study guides, Class notes & Summaries

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SIE Exam Study Guide with Verified Solutions purpose of securities industry - Answer️️ -matching investors with money to issuers that need that money to finance issuer - Answer️️ -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 - Answer️️ -1) issue debt securities (bonds) and 2) issues equity securi...

SIE Mastery Exam I Study Guide With Accurate Solutions. Common Stock - answerNegotiable Not Callable Not Convertible Not Redeemable Common Dividends - answerDeclared Quarterly Paid Quarterly Preferred Stock - answerNegotiable Callable Convertible Cumulative Participating Preferred Dividends - answerPaid Semi-Annually Cash Only Equity Ownership of a Corporation - answerAny... Common Stock Preferred Stock Treasury Stock - answerIssued shares minus outstanding shares Management C...

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Finra SIE Exam Study Guide Latest Update Exempt Securities from SEC Registration - ️️ Correct--securities listed by the U.S. or federal agencies -Municipal Bonds -Securities issued by banks, savings institutions and credit unions -Public utility stocks or bonds -Securities issued by religious, educational or nonprofit organizations -Notes, bills of exchange, bankers acceptances and commercial paper with an initial maturity of 270 days or less -Insurance policies and fixed annuities...

If interest Rates fall the issuer will most likely call which bonds first? - High Dividend Rate preferred issues trading at a premium What are some actions by a corporation will affect an individuals common shareholder's equity - Conversion of convertible preferred stocks or bond Repurchase of common shares Issuance of additional common shares (Stock splits do not effect shareholders equity but it must be voted on because it effects Par Value) Benefits to a Convertible stock compared to...

FINRA SIE Exam Questions And Answers With Verified Study Solutions FINRA SIE Exam Questions And Answers With Verified Study Solutions

Exam FX, SIE Study Guide, Chapter 1, Questions.

FINRA SIE Exam Questions And Answers With Verified Study Solutions FINRA SIE Exam Questions And Answers With Verified Study Solutions

Securities Act of 1933 - The first major federal law regulating the securities industry. Focuses on the PRIMARY MARKET It requires firms issuing new stock in a public offering to file a registration statement with the SEC. Securities Act of 1934 - A law governing the SECONDARY trading of securities in the US; established the SEC (Securities and Exchange Commission). Securities Act of 1933 applies to - non-exempt issues What is needed per the Securities Act of 1933 before sales ca...