Sie unit 3 - Study guides, Class notes & Summaries
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Sie exam study guide with complete solutions
- Exam (elaborations) • 19 pages • 2024
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Sie exam study guide with complete solutions 
MSRB - Answer️️ -Municipal Securities Rulemaking Board 
GO Bonds - Answer️️ -Generally obligation bonds: municipal bonds that are 
back by the full faith and credit of the taxpayers and must be approved by 
taxpayers. 
capital appreciation bond (CAB) - Answer️️ -a long-term, high-interest-paying 
bond that pays off both principal and interest in one lump sum when the bond 
reaches maturity 
Revenue Bonds - Answer️️ -Bonds to be repaid...
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SIE Exam Practice Questions and Answers (100% Pass)
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SIE Exam Practice Questions and Answers (100% Pass) 
Which of the following is a true statement regarding warrants? 
A) 
Warrants are normally issued along with a bond offering as a unit. 
B) 
The warrant allows the holder to exercise and purchase the stock at a price lower 
than the market. 
C) 
Warrants are short-term instruments, typically 30 to 45 days. 
D) 
Warrants are issued to existing shareholders on a basis of one right for one existing 
share. - Answer️️ -Warrants are normally iss...
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Regulations Finra Rules Questions and Answers 100% correct 2023
- Exam (elaborations) • 46 pages • 2023
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Regulations Finra Rules Questions and Answers 100% correct 2023 
All of the following statements are true regarding the U.S. securities markets EXCEPT: 
A 
FINRA has regulatory authority over the markets and market participants in the trading of all non-exempt securities 
B 
the Federal Reserve Board decides securities can be traded on margin 
C 
the Securities and Exchange Commission has regulatory authority over the securities markets and its participants 
D 
the MSRB has regulatory authority ...
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Regulations Finra Rules Questions and Answers 100% correct 2023
- Exam (elaborations) • 46 pages • 2023
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Regulations Finra Rules Questions and Answers 100% correct 2023 
All of the following statements are true regarding the U.S. securities markets EXCEPT: 
A 
FINRA has regulatory authority over the markets and market participants in the trading of all non-exempt securities 
B 
the Federal Reserve Board decides securities can be traded on margin 
C 
the Securities and Exchange Commission has regulatory authority over the securities markets and its participants 
D 
the MSRB has regulatory authority ...
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SIE Study Set Final Questions & Answers
- Exam (elaborations) • 22 pages • 2024
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SIE Study Set Final 
 
Order of Asset Distribution upon Liquidation - Answer- 1) Taxes 
2) Secured Debt 
3) Unsecured Debt 
4) Preferred Stockholder 
5) Common Stockholders 
 
Round lot Unit of trading - Answer- 100 shares 
 
Cyclical Stock - Answer- Heavily affected by economic cycles 
Ex) Auto manuf or Steel companies 
 
Non-Cyclical/Defensive Stocks - Answer- Sheltered from normal business/economic cycles 
ex) Tobacco, people still smoke regardless of economy 
 
Counter Cyclic...
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Finra Rules Questions and Answers 100% correct 2023
- Exam (elaborations) • 42 pages • 2023
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Finra Rules Questions and Answers 100% correct 2023 
All of the following statements are true regarding the U.S. securities markets EXCEPT: 
A 
FINRA has regulatory authority over the markets and market participants in the trading of all non-exempt securities 
B 
the Federal Reserve Board decides securities can be traded on margin 
C 
the Securities and Exchange Commission has regulatory authority over the securities markets and its participants 
D 
the MSRB has regulatory authority over the mar...
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SIE Exam Part 3 Unit 27 Study Guide with Complete Solutions
- Exam (elaborations) • 5 pages • 2024
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SIE Exam Part 3 Unit 27 Study Guide 
with Complete Solutions 
FINRA - Answer️️ -who holds BDs to general standards regarding all member firm 
communications 
- all member firm communications must be based on the principles of fair dealing and 
good faith 
- institutional 
- retail 
- correspondence - Answer️️ -in accordance with FINRA, what are the three 
categories of communication? 
institutional communication - Answer️️ -category of communication 
- means any written (including el...
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FINRA SIE Exam Questions and Answers 100% Correct 2023
- Exam (elaborations) • 14 pages • 2023
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FINRA SIE Exam Questions and Answers 100% Correct 2023 
If interest Rates fall the issuer will most likely call which bonds first? 
High Dividend Rate preferred issues trading at a premium 
 
 
 
What are some actions by a corporation will affect an individuals common shareholder's equity 
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 effe...
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FINRA SIE Practice Exam Questions and Answers | 100% Pass
- Exam (elaborations) • 29 pages • 2024
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FINRA SIE Practice Exam Questions and 
Answers | 100% Pass 
When is interest on Treasury notes paid? 
A.) Quarterly 
B.) Semiannually 
C.) Annually 
D.) At maturity - ️️ Correct-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 - ️️ Correct-A.) 30/360 
Which of the following security types provides investors with a stated maturity date, a 
floating intere...
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SIE (MASTERY TEST) 2022/2023 WITH COMPLETE SOLUTIONS
- Exam (elaborations) • 10 pages • 2023
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SIE (MASTERY TEST) 
2022/2023 WITH 
COMPLETE 
SOLUTIONS 
This study source was downloaded by from CourseH on :49:57 GMT -06:00 

All of the following are U.S. government agency debt securities EXCEPT 
A) Government National Mortgage Association securities 
B) Farm Credit Administration securities 
C) Federal National Mortgage Association securities 
D) Treasury notes - ANSWER D) Treasury notes 
GNMA, Freddie & Fannie, Farm Credit Admin 
Numbers measuring the output of goods and services hav...
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