Sie study guide - Study guides, Class notes & Summaries

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 - ANSWER 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...

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 compar...

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...

The redemption value of an open-end investment company's shares is based on the: previous offering price previous closing NAV NAV computed after the order is received offering price computed after the order is received - NAV computed after the order is received The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar basis? 30/360 30/365 Actual/360 Actual/365 - 30/360 Blue-sky laws are regulated by which of the following entities? SEC M...

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SIE Exam Part 3 Unit 27 Study Guide with Complete Solutions FINRA - Answer️️ -who holds BDs to general standards regarding all member firm communications - all member firm communications must be based on the principles of fair dealing and good faith - institutional - retail - correspondence - Answer️️ -in accordance with FINRA, what are the three categories of communication? institutional communication - Answer️️ -category of communication - means any written (including el...

SIE FINRA Exam Study Guide with Complete Solutions The Federal regulatory body that governs the securities industry is: - Answer️️ -The SEC A fully disclosed BD: - Answer️️ -is an inducing firm clearing its transactions through a carrying firm An intermediary between the buy and sell sides of a transaction is known as - Answer️️ -a clearing agent For the Depository Trust and Clearing Corporation (DTCC), all of the following are true EXCEPT: a. it is a member of the Federal ...

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...

288 SIE exam caril Study Guide Questions with Correct Answers. Graded A Document Content and Description Below 288 SIE exam caril Study Guide Questions with Correct Answers What type of risk is unique to a specific industry, business enterprise, or investment type? >>>Nonsystematic risk Under which of the following circumstances is an investor in a position to acquire stock? >>>Buy a call, sell a call (The holder of a call has the right to buy stock at the strike price if exe...

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...