Sie exam practice Study guides, Class notes & Summaries

FINRA SIE EXAM PRACTICE TEST 2023/2024 QUESTIONS AND ANSWERS GRADED A+

SIE Exam Practice Questions and Answers (100% Pass) A broker-dealer must establish info barriers between two departments? a. Research & Compliance b. Retail & Institutional Sales c. HR & Retail Sales d. Investment Banking. & Trading - Answer️️ -d. Investment Banking. & Trading A registered representative persuades a customer to purchase a security by assuring her that, should it fall in value, the representative will make up the difference in the account. This practice is: a. Permit...

SIE Exam Practice Questions and Answers (100% pass) growth companies typically do not pay a _____________ - Answer️️ -dividend statutory voting - Answer️️ -allows stockholder only the amount of votes they have towards each BOD position. Ex: An investor has 100 shares, 3 BOD position open. He has 300 votes, 100 for each position cumulative voting - Answer️️ -shareholder can combine votes into one BOD position. Ex: An investor has 100 shares, 3 BOD position open. He has 300 vot...

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...

SIE EXAM PRACTICE QUESTIONS AND ANSWERS (100% CORRECT) What right do common share holders not have? A. Right to vote B. inspect books & Records C. Preemptive rights D. Dividends - Answer️️ -D. Dividends common share holders also do not make decisions about management preemptive right - Answer️️ -The shareholder has the right to buy common stock before anyone else corporate dissolution - Answer️️ -common shareholders are last in line in the case of the company going bankrup...

SIE Exam Practice Questions and Answers (100% Pass)

all of the following accounts are for unincorporated business except: sole proprietorship accounts corporate accounts partnership accounts limited liability company accounts - corporate accounts - corporations are incorporated In an irrevocable trust may or must do which of the following? I. May change the terms of the trust II. Must give up ownership of items placed in the trust III. May reduce estate taxes IV. May retain ownership of items placed in the trust - II and III - The granto...

SIE Exam Practice Questions and Answers (100% Pass) No- Load Mutual funds may have lower expense ratios than load mutual funds for which reason? - Answer️️ -No-load funds are not permitted to charge a 12b-1 fee greater than 25 basis points Under normal circumstances, a customer's letter of intent on a mutual fund purchase is valid for what maximum period of time? - Answer️️ -13 months At the time of issuance, which of the following securities normally has the longest period to ex...

COMPREHENSIVE SIE PRACTICE EXAM QUESTIONS AND ANSWERS 2024/2025;VIEW AHEAD EXAM

FINRA SIE EXAM PRACTICE TEST SOLUTIONS QUESTIONS AND ANSWERS A+ VERIFIED