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FINRA SIE Exam Questions and Answers 100% Pass
FINRA SIE Exam Questions and Answers 100% Pass If interest Rates fall the issuer will most likely call which bonds first? - Correct Answer️️ -High Dividend Rate preferred issues trading at a premium What are some actions by a corporation will affect an individuals common shareholder's equity - Correct Answer️️ -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 ...
- Exam (elaborations)
- • 25 pages •
FINRA SIE Exam Questions and Answers 100% Pass If interest Rates fall the issuer will most likely call which bonds first? - Correct Answer️️ -High Dividend Rate preferred issues trading at a premium What are some actions by a corporation will affect an individuals common shareholder's equity - Correct Answer️️ -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 ...
FINRA Practice SIE Exam Questions and Answers 100% Pass
FINRA Practice SIE Exam Questions and Answers 100% Pass 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 - Correct Answer️️ -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 - C...
- Exam (elaborations)
- • 21 pages •
FINRA Practice SIE Exam Questions and Answers 100% Pass 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 - Correct Answer️️ -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 - C...
Series 6 Exam Study Questions with 100% Correct Answers
Series 6 Exam Study Questions with 100% Correct Answers What factors determine the number of annuity units an investor will receive after annuitizing a variable annuity? - Correct Answer️️ -1) The payout option 2) Assumed interest rate (AIR) 3) The annuitant's age 4) The annuitant's gender Who must sign a new account form? - Correct Answer️️ -The two signatures required on a new account form are from the registered representative and the principal. What is the purpose of the f...
- Exam (elaborations)
- • 11 pages •
Series 6 Exam Study Questions with 100% Correct Answers What factors determine the number of annuity units an investor will receive after annuitizing a variable annuity? - Correct Answer️️ -1) The payout option 2) Assumed interest rate (AIR) 3) The annuitant's age 4) The annuitant's gender Who must sign a new account form? - Correct Answer️️ -The two signatures required on a new account form are from the registered representative and the principal. What is the purpose of the f...
Series 7 Practice Questions with Correct Answers
Series 7 Practice Questions with Correct Answers An investor tells his rr to purchase 50m EGG 11.7% debenture bonds. The order goes through and the bonds are purchased for 113. A year before the bond matures, it is valued at 103. What is this called? - Correct Answer️️ -Amortization In oil and gas limited partnerships is the risk greater in developmental or exploratory programs? - Correct Answer️️ -exploratory What is the best way to measure the GNP? (gross national product) - Corr...
- Exam (elaborations)
- • 16 pages •
Series 7 Practice Questions with Correct Answers An investor tells his rr to purchase 50m EGG 11.7% debenture bonds. The order goes through and the bonds are purchased for 113. A year before the bond matures, it is valued at 103. What is this called? - Correct Answer️️ -Amortization In oil and gas limited partnerships is the risk greater in developmental or exploratory programs? - Correct Answer️️ -exploratory What is the best way to measure the GNP? (gross national product) - Corr...
SIE Practice Exam Questions and Answers 100% Pass
SIE Practice Exam Questions and Answers 100% Pass 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 Answer️️ -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 buy...
- Exam (elaborations)
- • 11 pages •
SIE Practice Exam Questions and Answers 100% Pass 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 Answer️️ -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 buy...