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SIE Exam 4 Questions & Answers(RATED A)
After a registered person resigns or is terminated from a member firm, the firm is required to notify FINRA within: - ANSWER 30 Days. U5. An employee of a broker-dealer has just received a report created by her firm's research department, but the report has not yet been released publicly. If the employee buys or sells shares based on the research report, which statement is TRUE? - ANSWER The employee has traded ahead of the report. What type of investor is not a typical candidate for...
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- • 11 pages •
After a registered person resigns or is terminated from a member firm, the firm is required to notify FINRA within: - ANSWER 30 Days. U5. An employee of a broker-dealer has just received a report created by her firm's research department, but the report has not yet been released publicly. If the employee buys or sells shares based on the research report, which statement is TRUE? - ANSWER The employee has traded ahead of the report. What type of investor is not a typical candidate for...
SIE Exam Unit 1 Questions & Answers
The securities industry's primary regulatory body and created under what act? - ANSWER SEC, Securities Exchange Act of 1934 Function under the SEC's oversight and is accountable to the Commission for enforcing federal securities laws, as well as supervising securities practices within an assigned jurisdiction. - ANSWER Self Regulatory organizations (SRO) what are the largest SROs - ANSWER Financial Industry Regulation Authority (FINRA), Chicago Board Options Exchange (CBOE), Municipa...
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- • 7 pages •
The securities industry's primary regulatory body and created under what act? - ANSWER SEC, Securities Exchange Act of 1934 Function under the SEC's oversight and is accountable to the Commission for enforcing federal securities laws, as well as supervising securities practices within an assigned jurisdiction. - ANSWER Self Regulatory organizations (SRO) what are the largest SROs - ANSWER Financial Industry Regulation Authority (FINRA), Chicago Board Options Exchange (CBOE), Municipa...
FINRA Website SIE Practice Exam Questions & Answers(RATED A)
Under the Securities act of 1933, registration is required for which of the following securities? A. Eurodollar bonds B. Municipal securities C. American Depositary Receipts (ADRs) D. Securities issued by the federal government - ANSWER C. American Depositary Receipts Which of the following outcomes are possible for the writer of a covered call option? A. Profit limited and loss limited B. Profit limited and loss unlimited C. Profit unlimited and loss limited D. Profit unlimited a...
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Under the Securities act of 1933, registration is required for which of the following securities? A. Eurodollar bonds B. Municipal securities C. American Depositary Receipts (ADRs) D. Securities issued by the federal government - ANSWER C. American Depositary Receipts Which of the following outcomes are possible for the writer of a covered call option? A. Profit limited and loss limited B. Profit limited and loss unlimited C. Profit unlimited and loss limited D. Profit unlimited a...
Finra SIE Exam Questions & Answers 2024 Latest Update!!
Exempt Securities from SEC Registration - ANSWER -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 Exempt Transactions from SEC Registration - ANSWE...
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Exempt Securities from SEC Registration - ANSWER -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 Exempt Transactions from SEC Registration - ANSWE...
SIE Practice Exam Questions & Answers(RATED A)
Which corporate voting procedures entitles a shareholder to one vote per share, and votes must be divided evenly among the candidates being voted on? - ANSWER 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. - ANSWER Third market
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Which corporate voting procedures entitles a shareholder to one vote per share, and votes must be divided evenly among the candidates being voted on? - ANSWER 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. - ANSWER Third market
FINRA SIE Practice Exam Correct Questions & Answers(GRADED A)
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 - ANSWER 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 comp...
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- • 15 pages •
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 - ANSWER 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 comp...
SIE practice exam Questions & Answers(RATED A)
A customer writes an MMM January 70 put at 6. The maximum potential gain on this position is - ANSWER 600 Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is - ANSWER 7300 Large time deposits of more than $100,000 are considered to be found in what part of the money supply? - ANSWER M3
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- • 7 pages •
A customer writes an MMM January 70 put at 6. The maximum potential gain on this position is - ANSWER 600 Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is - ANSWER 7300 Large time deposits of more than $100,000 are considered to be found in what part of the money supply? - ANSWER M3
SIE EXAM 2024 LATEST UPDATE!!
Federal Reserve Board - ANSWER Founded on December 23rd 1913, to oversee financial panics. Independent of direct political influence. Federal Reserve Act was passed to stabilize prices, maximize employment, moderate long term interest. FINRA vs MSRB - ANSWER FINRA oversees brokerage firms and their associated persons. MSRB- regulates the municipal securities market including dealers, municipal advisers, and issuers. Municipal Securities Rulemaking Board Structure of the Fed - ANSWER Th...
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- • 21 pages •
Federal Reserve Board - ANSWER Founded on December 23rd 1913, to oversee financial panics. Independent of direct political influence. Federal Reserve Act was passed to stabilize prices, maximize employment, moderate long term interest. FINRA vs MSRB - ANSWER FINRA oversees brokerage firms and their associated persons. MSRB- regulates the municipal securities market including dealers, municipal advisers, and issuers. Municipal Securities Rulemaking Board Structure of the Fed - ANSWER Th...
FINRA SIE Practice Exam Questions & Answers(RATED A)
When is interest on Treasury notes paid? A.) Quarterly B.) Semiannually C.) Annually D.) At maturity - ANSWER 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 - ANSWER A.) 30/360 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 interme...
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When is interest on Treasury notes paid? A.) Quarterly B.) Semiannually C.) Annually D.) At maturity - ANSWER 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 - ANSWER A.) 30/360 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 interme...
FINRA SIE Practice Questions & Answers
Roth 401 (k) and Roth individual retirement account (IRA) plans share which of the following features? - ANSWER Qualified distributions are excluded from federal income tax All of the following risks apply to both foreign and domestic debt instruments except: - ANSWER Exchange
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- • 3 pages •
Roth 401 (k) and Roth individual retirement account (IRA) plans share which of the following features? - ANSWER Qualified distributions are excluded from federal income tax All of the following risks apply to both foreign and domestic debt instruments except: - ANSWER Exchange
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