Issuers Samenvattingen, Aantekeningen en Examens

SIE Exam question with complete solution graded A+ 2023purpose of securities industry - correct answer matching investors with money to issuers that need that money to finance issuer - correct answer legal entity that sells securities in order to finance its operations (business, governments) ie. us treasury, us gov agencies, foreign governments, state and local governments, corps, banks methods issuers use to raise capital - correct answer 1) issue debt securities (bonds) and 2) issues eq...

Series 79Don’t have to register securities if - correct answer 1. securities are exempt 2. Transaction is exempt C Corp - correct answer Big corp Can file to be public Does not pass through gains & losses to shareholders (pays corporate income tax) Anyone can invest Taxed at favorable rates if held for more than 1 year S Corp - correct answer Small corp Max 100 shareholders Ineligible to list on exchange PAss through gains & losses to shareholders (does not pay cor...

Outline the business relationships between the three principal parties that are involved in a landscape construction project (Their obligations) - correct answer 1. Owner/ client - initiate the project ; signs separate contracts for completion, & responsible for funding design & construction 2. Contractor - hired by owner to combine necessary ingredients of materials , labor, equipment, and management to accomplish job 3. Landscape architect - deals w/ both. only contractual relationshi...

SIE Exam Questions With 100% Correct Answers 2023 purpose of securities industry matching investors with money to issuers that need that money to finance issuer legal entity that sells securities in order to finance its operations (business, governments) ie. us treasury, us gov agencies, foreign governments, state and local governments, corps, banks methods issuers use to raise capital 1) issue debt securities (bonds) and 2) issues equity securities (stocks) debt securit...

What type of risk is unique to a specific industry, business enterprise, or investment type? - ANSWER-Nonsystematic risk Under which of the following circumstances is an investor in a position to acquire stock? - ANSWER-Buy a call, sell a call (The holder of a call has the right to buy stock at the strike price if exercised. The seller of a put is obligated to buy stock at the strike price if exercised) Options- a premium - ANSWER-the cost of an option contract, expressed in dollars per sh...

PCNSE Study 51-100 questions and answers 2023 100% correct PCNSE Study 51-100 questions and answers 2023 100% correct Which Security policy rule will allow an admin to block facebook chat but allow Facebook in general? A. Deny application facebook-chat before allowing application facebook B. Deny application facebook on top C. Allow application facebook on top D. Allow application facebook before denying application facebook-chat - correct answer A. Deny application facebook-ch...

Series 79Rule 144 - correct answer Provides a safe harbor for permitting the sale of restricted and affiliate securities, without requiring registration Market Out Clause - correct answer Within an underwriting agreement, describes the circumstances under which an underwriter can cancel a purchase agreement without penalty Where are syndicate expenses deducted from? - correct answer The underwriting fee How long before do you need to register for an IPO to be unrestricted? - correct ans...

Federal Reserve Board : 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 : 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 : The Board of Gover...

ECO 4223 MONEY AND BANKING William J. Luther TEST 1 with Complete Solutions Financial Markets include bonds, stocks, foreign exchange Financial Institutions include banks, insurance companies, mutual funds financial markets markets in which funds are transferred from people who have an excess of available funds to people who have a shortage security (financial instrument) is a claim on the issuers future income or assets bond a debt security that promises to make payments periodically f...

A 68 year-old client of yours indicates that he is interested in changing the portfolio mix of his IRA to become largely invested in noninvestment grade bonds. You would probably infer from this that the client: - correct answer A) has insufficient retirement savings. Most studies have indicated that seniors with insufficient retirement savings attempt to compensate by being tempted to reach for higher yields to maximize retirement income without full consideration of the increased risk th...