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FINRA SIE Practice Test|| 75 Questions || Correct Answers|| 100% Verified
Upon Expiration, all in-the-money S&P 100 Index call options are settled by the delivery of which of the following? - ANSWER Cash Which of the following statements is true about treasury stock? - ANSWER It is issued stock that has been subsequently reacquired by the corporation In the event of a stock split, which of the following parties is required to maintain a record of the shareholders eligible to receive the additional
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- • 7 pages •
Upon Expiration, all in-the-money S&P 100 Index call options are settled by the delivery of which of the following? - ANSWER Cash Which of the following statements is true about treasury stock? - ANSWER It is issued stock that has been subsequently reacquired by the corporation In the event of a stock split, which of the following parties is required to maintain a record of the shareholders eligible to receive the additional
SIE Exam- Unit 1 (Knowledge of Capital Markets)Correct 100%
SEC- - ANSWER Securities and exchange commission is the securities industry's primary regulatory body. Which act created the SEC? - ANSWER The securities exchange act of 1934 What is the purpose of registering with the SEC - ANSWER If you conduct securities business with either customers or broker dealers; you must be apply and be approved for registration with the SEC
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SEC- - ANSWER Securities and exchange commission is the securities industry's primary regulatory body. Which act created the SEC? - ANSWER The securities exchange act of 1934 What is the purpose of registering with the SEC - ANSWER If you conduct securities business with either customers or broker dealers; you must be apply and be approved for registration with the SEC
FINRA's SIE EXAM 1 Questions & ANSWERS(RATED A)
An associated person who is not a registered representative is permitted to engage in which of the following? - ANSWER provide account opening forms to a new customer At issue, which of the following debt securities mature in one year or less? - ANSWER money market instruments Direct participation programs provide - ANSWER exposure to non-correlated assets with steady returns
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- • 4 pages •
An associated person who is not a registered representative is permitted to engage in which of the following? - ANSWER provide account opening forms to a new customer At issue, which of the following debt securities mature in one year or less? - ANSWER money market instruments Direct participation programs provide - ANSWER exposure to non-correlated assets with steady returns
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Direct Participation Programs (DPPs) provide: - ANSWER exposure to non-correlated assets with steady returns Under Federal Reserve Regulation T, a 90-day restriction is imposed when a customer opens and closes which of the following positions? - ANSWER The same stock in a cash account without paying for the stock in full Under the securities act of 1933, registration is required for which of the following securities - ANSWER American Depository Receipts (ADRs)
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- • 4 pages •
Direct Participation Programs (DPPs) provide: - ANSWER exposure to non-correlated assets with steady returns Under Federal Reserve Regulation T, a 90-day restriction is imposed when a customer opens and closes which of the following positions? - ANSWER The same stock in a cash account without paying for the stock in full Under the securities act of 1933, registration is required for which of the following securities - ANSWER American Depository Receipts (ADRs)
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What is the cost basis of an inherited mutual fund? - ANSWER The net asset value (NAV) of the shares when the owner dies Under Federal Reserve Regulation T, a 90-day restriction is imposed when a customer opens and closes which of the following positions - ANSWER the same stock in a cash account without paying for the stock in full
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- • 2 pages •
What is the cost basis of an inherited mutual fund? - ANSWER The net asset value (NAV) of the shares when the owner dies Under Federal Reserve Regulation T, a 90-day restriction is imposed when a customer opens and closes which of the following positions - ANSWER the same stock in a cash account without paying for the stock in full
FINRA Practice SIE Exam Questions & Answers(2024 LATEST UPDATE)
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 - ANSWER 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 - ANSWER 30/360 Blue-sky laws are regulated by which of the following e...
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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 - ANSWER 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 - ANSWER 30/360 Blue-sky laws are regulated by which of the following e...
FINRA SIE Exam Questions & Answers
If interest Rates fall the issuer will most likely call which bonds first? - ANSWER High Dividend Rate preferred issues trading at a premium What are some actions by a corporation will affect an individuals common shareholder's equity - ANSWER 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 Converti...
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If interest Rates fall the issuer will most likely call which bonds first? - ANSWER High Dividend Rate preferred issues trading at a premium What are some actions by a corporation will affect an individuals common shareholder's equity - ANSWER 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 Converti...
CVA Exam - 4ACT Questions & Answers(GRADED A)COMPLETE EXAM BUNDLE
CVA Exam - 4ACT Questions & Answers(GRADED A)COMPLETE EXAM BUNDLECVA Exam - 4ACT Questions & Answers(GRADED A)COMPLETE EXAM BUNDLECVA Exam - 4ACT Questions & Answers(GRADED A)COMPLETE EXAM BUNDLECVA Exam - 4ACT Questions & Answers(GRADED A)COMPLETE EXAM BUNDLE
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- CVA Exam - 4ACT Questions & Answers(GRADED A) • Examen
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- CVA Exam Questions & Answers(2024 latest update • Examen
- CVA Exam Review: Unit 4 Questions & Answers(RATED A) • Examen
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CVA Exam - 4ACT Questions & Answers(GRADED A)COMPLETE EXAM BUNDLECVA Exam - 4ACT Questions & Answers(GRADED A)COMPLETE EXAM BUNDLECVA Exam - 4ACT Questions & Answers(GRADED A)COMPLETE EXAM BUNDLECVA Exam - 4ACT Questions & Answers(GRADED A)COMPLETE EXAM BUNDLE
CVA exam 4 Questions & Answers(RATED A)
) Transport of gases, nutrients, wastes, hormones, and antibodies 2) homeostasis 3) temperature regulation - ANSWER What are the functions of the blood vascular system? Metanephric kidney (reptiles, birds, mammals) pronephros mesonephros metanephros mesonephros duct uretic vas deferens renal corpuscle Bowman's capsule glomerulus pedicels fenestrated proximal
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- • 8 pages •
) Transport of gases, nutrients, wastes, hormones, and antibodies 2) homeostasis 3) temperature regulation - ANSWER What are the functions of the blood vascular system? Metanephric kidney (reptiles, birds, mammals) pronephros mesonephros metanephros mesonephros duct uretic vas deferens renal corpuscle Bowman's capsule glomerulus pedicels fenestrated proximal
CVA Exam Questions & Answers (GRADED A)
When dealing with clients,which should NOT be done? - ANSWER Treating every client the same A good way to determine the best service for your clients is by: - ANSWER Get a better understanding of them by asking questions and effectively listening to their responses Clients that rely entirely on your recommendations behave in such a manner because ____. - ANSWER They are unable to make the decision on their own
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- • 7 pages •
When dealing with clients,which should NOT be done? - ANSWER Treating every client the same A good way to determine the best service for your clients is by: - ANSWER Get a better understanding of them by asking questions and effectively listening to their responses Clients that rely entirely on your recommendations behave in such a manner because ____. - ANSWER They are unable to make the decision on their own
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