Finra sie practice exam - Study guides, Class notes & Summaries

FINRA SIE Practice Exam Questions And Answers With Latest Quiz

FINRA SIE Practice Exam Questions with Verified Answers 2023FINRA SIE Practice Exam Questions with Verified Answers 2023

When is interest on Treasury notes paid? A.) Quarterly B.) Semiannually C.) Annually D.) At maturity correct answers 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 answers A.) 30/360 Which of the following security types provides investors with a stated maturity date, a floating interest rate, and an option to put the security back to a fin...

FINRA SIE Practice Exam| 74 Questions| With Complete Solutions

Direct Participation Programs (DPPs) provide: : exposure to non-correlated assets with steady returns Under Federal Reserve Regulation T, a 90-day restriction is imposed when a customer opens and closes which of the following positions? : The same stock in a cash account without paying for the stock in full Under the securities act of 1933, registration is required for which of the following securities : American Depository Receipts (ADRs) A customer has a cash balance in her account t...

In a period of low inflation and economic recession, the Federal Reserve is expected to take which of the following actions? A) Decrease Taxes B) Require banks to increase reserve C) Buy bonds in the open market correct answer: Buy bonds in the open market Under FINRA rules which of the following activities by a registered representative requires written notification to her firm? A) Gambling resulting in winnings in excess of $10,000 B) Driving part time for a transportation netw...

Upon Expiration, all in-the-money S&P 100 Index call options are settled by the delivery of which of the following? - correct answer Cash Which of the following statements is true about treasury stock? - correct answer It is issued stock that has been subsequently reacquired by the corporation In the event of a stock split, which of the following parties is required to maintain a record of the shareholders eligible to receive the additional shares? - correct answer Transfer Agent Which ...

FINRA SIE Practice Exam Questions with Verified Answers 2023FINRA SIE Practice Exam Questions with Verified Answers 2023

Roth 401 (k) and Roth individual retirement account (IRA) plans share which of the following features? : Qualified distributions are excluded from federal income tax All of the following risks apply to both foreign and domestic debt instruments except: : Exchange The redemption value of an open-end investment company's shares is based on the: : NAV computed after the order is received A decline in the gross domestic product (GDP) must last for at least how many quarters to be consider...

In a period of low inflation and economic recession, the Federal Reserve is expected to take which of the following actions? A) Decrease Taxes B) Require banks to increase reserve C) Buy bonds in the open market correct answers Buy bonds in the open market Under FINRA rules which of the following activities by a registered representative requires written notification to her firm? A) Gambling resulting in winnings in excess of $10,000 B) Driving part time for a transportation netwo...