Sie mastery exam i - Study guides, Class notes & Summaries

Which statement is TRUE when comparing types of management companies? Ans: Open-end funds are mutual funds while closed-end funds are publicly traded funds Which of the following is NOT part of the secondary market? Ans: Fifth Market The term "publicly traded fund" is the common name for a(n) Ans: close ended management company Which of the following is a redeemable security? Ans: Open-end fund American Depositary Receipts would NOT trade on which of the following exchanges? Ans: Toky...

SIE Mastery Exam III Questions and Answers

SIE Mastery Exam II Questions With Complete Solutions A customer sells short 100 shares of ABC stock at $60 and sells 1 ABC Oct 60 Put @ $6. The maximum potential loss is: A. unlimited B. limited C. $6,000 D. $600 ️️A. If the market rises, the short put expires, and the short stock position must be covered by making a purchase in the market. The loss potential is unlimited. The regulator that has primary responsibility for enforcing anti-money laundering laws is:

A customer sells short 100 shares of ABC stock at $60 and sells 1 ABC Oct 60 Put @ $6. The maximum potential loss is: A. unlimited B. limited C. $6,000 D. $600 Ans: A. If the market rises, the short put expires, and the short stock position must be covered by making a purchase in the market. The loss potential is unlimited. The regulator that has primary responsibility for enforcing anti-money laundering laws is: A. SEC B. FinCEN C. FINRA D. FDIC Ans: B. - FinCEN is part of the...

Common Stock Ans: Negotiable Not Callable Not Convertible Not Redeemable Common Dividends Ans: Declared Quarterly Paid Quarterly Preferred Stock Ans: Negotiable Callable Convertible Cumulative Participating Preferred Dividends Ans: Paid Semi-Annually Cash Only Equity Ownership of a Corporation Ans: Any... Common Stock Preferred Stock Treasury Stock Ans: Issued shares minus outstanding shares Management Companies Ans: Open-End Closed-End Unit Investment Trust Face Amoun...

A registered representative calls a potential customer about investing in growth stocks. The customer states "Don't call me. Good-bye" and hangs up the phone. The registered representative should: - Answer place the customer on a "Do Not Call" list During the recession phase of an economic cycle, all of the following occur EXCEPT: - Answer employment levels increase The Securities Exchange Act of 1934 is MOST concerned with: - Answer prevention of manipulation and fraud in thesecondar...

Common Stock Ans: Negotiable Not Callable Not Convertible Not Redeemable Common Dividends Ans: Declared Quarterly Paid Quarterly Preferred Stock Ans: Negotiable Callable Convertible Cumulative Participating Preferred Dividends Ans: Paid Semi-Annually Cash Only Equity Ownership of a Corporation Ans: Any... Common Stock Preferred Stock Treasury Stock Ans: Issued shares minus outstanding shares Management Companie

SIE mastery exam I, II, + III Practice Questions and Answers (100% Verified)

SIE Mastery Exam III Questions With Accurate Answers. Which of the following activities is permitted during the "cooling off" period? - answerAccepting an indication of interest from the customer for part of the issue What is permitted during the 20-day cooling off period for an Initial Public Offering? - answerRoad show Private placements offered under Regulation D are exempt from: - answerRegistration with the SEC What type of transaction has the greatest financial risk for a broker-...