SIE (SIE)
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FINRA Securities Industry Essentials (SIE) Exam Prep Tax- series 7 Questions With Complete Solutions
- Exam (elaborations) • 49 pages • 2023
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All of the following would be taxed at "earned income" rates under IRS regulations EXCEPT: correct answer: -Interest payments 
 
Under the Internal Revenue Code, royalty income from books, plays, or magazine articles, is reported as: correct answer: -earned income 
 
Which of the following would be defined as "portfolio income" under IRS regulations? correct answer: -Long term capital gains 
 
Royalties received from an oil and gas program are: correct answer: -passive income 
 
An inves...
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Knopman Marks Securities Industry Essentials Flash Cards (SIE) Questions With Complete Solutions
- Exam (elaborations) • 88 pages • 2023
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Do the following Investment Companies/Products offer continuous share offering or fixed share counts? 
 
Mutual Funds 
Closed-End Funds 
UIT 
ETF correct answer: Mutual Funds: Continuous 
Closed-End Funds: Fixed 
UIT: Fixed 
ETF: Fixed 
 
What Term signifies that a share of common stock can be freely transferred, assigned, or delivered to another entity? 
a) Fungible 
b)Negotiable 
c)Portable 
d)Endorsable correct answer: b - A negotiable security is one that can be freely transferred, assigne...
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Knopman Marks SIE Exam| 417 Questions| With Complete Solutions
- Exam (elaborations) • 48 pages • 2023
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Regular Way Settlement for Equities correct answer: T + 2 
 
The First Day that a Buyer Buys Stock Without a Dividend correct answer: Ex-Dividend date 
 
The Last Day a Buyer Can Buy Stock and Receive the Dividend correct answer: business day before the ex-date 
 
When Ex-Dividend Date Happens Relative to the Record Date for Regular Way Trades correct answer: 1 business day before 
 
Fixed Rate Equity Security that Responds to Market Conditions like a Bond correct answer: Preferred Stock 
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FINRA SIE practice exam Questions Amd Answers With Complete Solutions
- Exam (elaborations) • 6 pages • 2023
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how are in the money index calls options delivered correct answer: cash 
 
qualified distribution correct answer: deductible- excluded from fed income tax 
 
nonsystematic risk correct answer: bysiness or selection 
 
asset back security correct answer: traded based on average life rather than stated maturity 
 
which action is required for BD AML program correct answer: designate AML compliance officer 
 
muni accruied interest method correct answer: 30/360 
 
stock exchange member willin...
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FINRA SIE Bond Basics Questions With Complete Solutions
- Exam (elaborations) • 3 pages • 2023
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Convertible Bondholders - Creditors of a corporations 
 
Dollar quote - Percentage of par quote 
 
Term bonds - Quoted as a percentage of par 
 
Series bonds - Same maturity, different dates of issuance 
 
Serial bond - Same date of issuance, different maturity 
 
Serial bond offering - Single issue date, differing maturities 
 
Capital appreciation - Benefit of a zero coupon bond 
 
Discount - Par value in excess of purchase price 
 
Depreciation - Non-cash expense, loss in value of an asset 
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SIE FINRA practice exam| 73 Questions| With Complete Solutions
- Exam (elaborations) • 10 pages • 2023
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Under SEC regulation S-P, which of the following information must a firm include in its customer privacy and opt-out notices? correct answer: the policies to protect the security of nonpublic information 
 
under industry regulations, an initial purchase of $3,000 of common stock in a margin account requires a cash deposit of correct answer: $2,000, remember $2000 is the MINIMUM requirement 
 
DPPs provide correct answer: exposure to non-correlated assets 
 
the primary purpose of a syndicate...
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SIE: Regulations (FINRA Rules) Questions With Complete SOLUTION
- Exam (elaborations) • 43 pages • 2023
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What is the U.S. Government agency that has enforcement authority over the U.S. securities markets? correct answer: SEC 
 
Both FINRA and the Securities and Exchange Commission (SEC) regulate and have enforcement capability over the U.S. securities markets and market participants. However, the SEC is a government agency, while FINRA is an SRO - a self-regulatory organization under SEC oversight. 
 
The Municipal Securities Rulemaking Board is another SRO that creates rules for municipal market ...
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SIE Exam: Missed Questions With Complete Solutions
- Exam (elaborations) • 19 pages • 2023
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What is a "market, not-held" order? correct answer: Customer allows the rep to use her own judgement as to the price and time at which the transactions will be executed 
 
What is the taxation for non-qualified variable annuities? correct answer: - Growth distributions are taxed 
 
How do you calculate the parity price of a stock? correct answer: Parity Price = Market Value / Conversion Ratio = Market Value / (Par Value/Conversion Price) 
 
What is the term to describe rising unemployment a...
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FINRA SIE Practice Questions And Answers
- Exam (elaborations) • 5 pages • 2023
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Roth 401 (k) and Roth individual retirement account (IRA) plans share which of the following features? correct answer: Qualified distributions are excluded from federal income tax 
 
All of the following risks apply to both foreign and domestic debt instruments except: correct answer: Exchange 
 
The redemption value of an open-end investment company's shares is based on the: correct answer: NAV computed after the order is received 
 
A decline in the gross domestic product (GDP) must last f...
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FINRA Practice SIE Exam| 73 Questions| With COMPLETE Solutions
- Exam (elaborations) • 21 pages • 2023
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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 correct 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 correct answer: 30/360 
 
Blue-sky laws are regulated by which of t...
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