Sie exam unit 2 - Study guides, Class notes & Summaries

SIE Exam Unit 1 questions and answers well illustrated. The securities industry's primary regulatory body and created under what act? - correct answers.SEC, Securities Exchange Act of 1934 Function under the SEC's oversight and is accountable to the Commission for enforcing federal securities laws, as well as supervising securities practices within an assigned jurisdiction. - correct answers.Self Regulatory organizations (SRO) what are the largest SROs - co...

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...

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...

UNIT 10 SIE EXAM PREP QUESTIONS AND ANSWERS | VERIFIED AND UPDATED Which of the following is the largest self-regulating organization (SRO)? A) SEC B) CBOE C) FINRA D) MSRB - Answer️️ -C Financial Industry Regulatory Authority (FINRA) staff must submit new rules and await approval from which of the following regulatory bodies prior to becoming effective? A) Securities and Exchange Commission (SEC) B) Municipal Securities Rule Board (MSRB) C) TITLE: EMILLYCHARLOTTE 2024/202...

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...

SIE Exam Unit 10 Study Guide with Verified Solutions Organization that regulates all matters related to investment banking (securities underwriting), trading in over the counter (OTC) market, trading in exchange-listed securities, and the conduct of FINRA member firms and associated persons - Answer️️ -FINRA What does FINRA stand for? - Answer️️ -Financial Industry Regulatory Authority FINRA's purpose and objective is to ________________________ the investment banking and securi...

SIE EXAM UNIT 4 QUESTIONS AND ANSWERS | 100% PASS FINRA membership eligibility standards are determined by A) the Municipal Securities Rulemaking Board (MSRB) B) the National Adjudicatory Council (NAC) C) the Securities and Exchange Commission (SEC) D) the Uniform Securities Act (USA) - Answer️️ -B. the National Adjuicatory Council (NAC) It is the NAC that has the responsibility for determining membership eligibility standards for FINRA members. An individual applying for registrat...

SIE Exam 2021. All Questions with accurate answers, 100% verified. What are statutory voting rights? - -Allows the shareholder to vote one time per share for each seat on the board. If the investor owns 10 shares, she can use 10 shares to vote for position #1 and 10 shares to vote for position #2. What are cumulative voting rights? - -Allows the shareholder to pool votes together and then allocate as desired. If the investor owns 10 shares and there are 2 open seats, she can use a...

FINRA Practice SIE Exam Questions And Answers FINRA Practice SIE Exam The redemption value of an open-end investment company's shares is based on the: previous offering price previous closing NAV NAV computed after the order is received offering price computed after the order is received - ANS NAV computed after the order is received The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar basis? 30/360 30/365 Actual/360 Actual/365 -...

FINRA SIE Exam Multiple Choice Questions Correct Answers Provided FINRA SIE Exam Multiple Choice Questions Correct Answers Provided The redemption value of an open-end investment company's shares is based on the: A. previous offering price B. previous closing NAV C. NAV computed after the order is received D. offering price computed after the order is received The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar basis? A. 30/360 B. 30/...