Sie practice exam - Study guides, Class notes & Summaries

FINRA SIE Practice Exam With 100% Correct Answers 2023/2024

Which corporate voting procedures entitles a shareholder to one vote per share, and votes must be divided evenly among the candidates being voted on? correct answersStatutory 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. correct answersThird market An investor sells a naked c...

SIE Practice Exam/Questions & Answers/ Latest UpdateNo- Load Mutual funds may have lower expense ratios than load mutual funds for which reason? No-load funds are not permitted to charge a 12b-1 fee greater than 25 basis points Under normal circumstances, a customer's letter of intent on a mutual fund purchase is valid for what maximum period of time?

In a period of low inflation and economic recession, the Federal Reserve is expected to take which of the following actions? A) Decrease Taxes B) Require banks to increase reserve C) Buy bonds in the open market : Buy bonds in the open market Under FINRA rules which of the following activities by a registered representative requires written notification to her firm? A) Gambling resulting in winnings in excess of $10,000 B) Driving part time for a transportation network company on w...

The primary purpose of a syndicate desk in the context of an equity offering is to: A. determine the list of selling shareholders B. build an order book and allocate the stock C. solicit interest from investors in the stock offering D. chaperone company management during the road show : B In a period of low inflation and economic recession, the Federal Reserve is expected to take which of the following actions? A. decrease taxes B. raise the federal funds rate C. buy bonds in the open...

a company announces a tender offer to its shareholders with the intent to buy a maximum of 1 million shares of its outstanding stock at $10 per share and sets no minimum of shares to be purchased. An investor wants to participate in this offer and tenders his 1000 share position. At the close of the offer period, only 900,000 shares have been tendered. How many, if any, of the investor's shares will the company purchase? a. 0 b. 100 c. 900 d. 1000 : 1000 Company ABC announces a ...

SIE Practice Exam QUESTIONS WITH VERIFIED SOLUTIONS SIE Practice Exam QUESTIONS WITH VERIFIED SOLUTIONS

When is interest on Treasury notes paid? A.) Quarterly B.) Semiannually C.) Annually D.) At maturity : B.) Semi-annually The computation of dollar prices and accrued interest on municipal bonds is normally on what calendar basis? A.) 30/360 B.) 30/365 C.) Actual/360 D.) Actual/365 : A.) 30/360 2 | P a g e Which of the following security types provides investors with a stated maturity date, a floating interest rate, and an option to put the security back to a financial intermedia...

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