Banks vs agencies Study guides, Class notes & Summaries
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CIC Agency Management Exam Questions with Correct Answers
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Types of Agencies - Answer-1. Standard lines P&C 
2. Personal Lines only 
3. Commercial Lines only 
4. Non-Standard Auto 
5. Life & Health Agency 
6. Combination of the above 
 
Banks vs. Agencies - Answer-1. How much will the agency culture change if your agency is acquired by a bank? 
2. Banks are governed by very specific federal and state laws that require them to function in a certain manner. 
3. Banks tend to be more formal (in terms of rules, dress code, etc.) than agencies. 
4. When acqu...
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SIE Exam Questions & Answers 2023/2024
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SIE Exam Questions & Answers 2023/2024 
 
purpose of securities industry - ANSWER-matching investors with money to issuers that need that money to finance 
 
issuer - 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 - ANSWER-1) issue debt securities (bonds) and 2) issues equity securities (stocks) 
 
debt secu...
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SIE EXAM 2024 LATEST UPDATE QUESTIONS AND VERIFIED ANSWERS GRADED A++
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SIE EXAM 2024 LATEST UPDATE QUESTIONS AND VERIFIED ANSWERS GRADED A++ 
 
 
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 Securiti...
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SIE EXAM 2024 LATEST UPDATED QUESTIONS AND VERIFIED ANSWERS BY EXPERT GRADED A++
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SIE EXAM 2024 LATEST UPDATED QUESTIONS AND VERIFIED ANSWERS BY EXPERT GRADED A++ 
 
 
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. 
Municip...
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SIE Exam Section 2: Understanding Products and Their Risks
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Common Stock - ANSWER-Is a security that represents ownership in a corporation. 
 
Exercise control by electing a board of directors and voting on corporate policy. 
 
Are on the bottom of the priority ladder for ownership structure 
 
Have rights to a company's assets only after bondholders, preferred shareholders and other debt holders are paid in full. 
 
Preferred Stock - ANSWER-Is a class of ownership in a corporation that has a higher claim on its assets and earnings than common stock. ...
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Financial Analysis
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1.	SHV	Share price + Dividends 2.	How do you in- crease Earnings Per Share (EPS)? Increase net income 3.	Revenues	-Sales -Goods or services sold 4.	Gross profit	-Gross income -Gross earnings -Gross margin 5.	Operating in- come 6.	Income before taxes (IBT) -Operating profit -Earnings before interest and tax (EBIT) -Income before interest and taxes (IBIT) -Earnings before taxes (EBT) -Profit before taxes (PBT) 7.	Net income (NI)	-Earnings after taxes (EAT) -Profit after t...
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SIE Exam question with complete solution graded A+ 2023
- Exam (elaborations) • 168 pages • 2023
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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...
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SIE Exam Questions With 100% Correct Answers 2023
- Exam (elaborations) • 131 pages • 2023
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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...
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214 FLORIDA INSURANCE ACTUAL EXAM WITH QUESTIONS AND ANSWERS VERIFIED
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214 FLORIDA INSURANCE ACTUAL 
EXAM WITH QUESTIONS AND 
ANSWERS VERIFIED 
Multi-Line Insurers - CORRECT ANSWER-________-______ Insurers are insurance 
carriers that offer more than one line of insurance. 
False - CORRECT ANSWER-True or False? Stock Insurance Companies are 
"participating" in that the policyholders receive dividends. 
Attorney-In-Fact - CORRECT ANSWER-Reciprocal Insurers are managed by an 
___________________. 
Association - CORRECT ANSWER-Contrary to popular opinion, Lloyd...
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FINRA SIE Real Exam Questions with All Correct Answers
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FINRA SIE Real Exam 
Questions with All Correct 
Answers 
 
Types of Issuers - CORRECT ANSWERS - FCBUS 
F oreign gov 
C orporations 
B anks 
U .S. Treasury and gov agencies 
S tate and local gov 
- raise capital by issuing securities 
EQUITY = used by corporations (represents ownership) 
DEBT = represent an issuer's promise to pay (notes and bonds) 
Broker-Dealer - CORRECT ANSWERS - Broker acts as a middle man between 
buyer and seller (no risk to the firm) 
- payed Commission 
- Dealer ac...
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