Sie study guide - Study guides, Class notes & Summaries
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SIE Exam study guide 2023/24 with complete solutions
- Exam (elaborations) • 26 pages • 2023
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Do common stock holders have to right to inspect all books of a company? 
No, only certain items suchs as the income statement and balance sheet 
 
 
 
Order of asset distribution 
Taxes 
Secured debt 
Unsecured debt 
Preferred stock holders 
Common stock holders 
 
 
 
What type of corporate security is considered the riskiest? 
Common stock 
 
 
 
Of all securities, common stock has historically 
Provided the best hedge against inflation, best capital appreciation potential 
 
 
 
Classificati...
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SIE Exam study guide with correct answers
- Exam (elaborations) • 185 pages • 2023
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purpose of securities industry 
matching investors with money to issuers that need that money to finance 
 
 
 
issuer 
legal entity that sells securities in order to finance its operations (business, governments) ie. us treasury, us gov agencies, foreign governments, state and local governments, corps, banks 
 
 
 
methods issuers use to raise capital 
1) issue debt securities (bonds) and 2) issues equity securities (stocks) 
 
 
 
debt securities 
publically traded loans = bonds, notes, or deb...
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FINRA SIE FINAL STUDY GUIDE 2023 | GRADED A+ WITH COMPLETE SOLUTION
- Exam (elaborations) • 19 pages • 2023
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The primary purpose of a syndicate desk in the context of an equity offering is to: 
A. determine the list of selling shareholders 
B. build an order book and allocate the stock 
C. solicit interest from investors in the stock offering 
D. chaperone company management during the road show - ANSWER B 
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. raise the federal funds rate 
C. buy bonds in th...
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FINRA SIE Exam Study Guide 2023
- Exam (elaborations) • 14 pages • 2023
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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 effects Par Value) 
 
Benefits to a Convertible stock compar...
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SIE Study Guide graded A+
- Exam (elaborations) • 39 pages • 2023
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SIE Study Guide graded A+
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FINRA Practice SIE Exam Study Guide Graded A 2023
- Exam (elaborations) • 12 pages • 2023
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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 - 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 - 30/360 
 
Blue-sky laws are regulated by which of the following entities? 
SEC 
M...
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FINRA SIE Exam Study Guide 2023-2024
- Exam (elaborations) • 14 pages • 2023
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- $10.39
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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 effects Par Value) 
 
Benefits to a Convertible stock compar...
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FINRA SIE FINAL STUDY GUIDE 2023 |QUESTIONS AND ANSWERS CORRECT AND VERIFIED
- Exam (elaborations) • 19 pages • 2023
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Available in package deal
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The primary purpose of a syndicate desk in the context of an equity offering is to: 
A. determine the list of selling shareholders 
B. build an order book and allocate the stock 
C. solicit interest from investors in the stock offering 
D. chaperone company management during the road show - ANSWER B 
 
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. raise the federal funds rate 
C. buy bonds...
-
SIE practice exam latest study guide verified 2023-2024
- Exam (elaborations) • 7 pages • 2023
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A customer writes an MMM January 70 put at 6. The maximum potential gain on this position is - 600 
 
Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is - 7300 
 
Large time deposits of more than $100,000 are considered to be found in what part of the money supply? - M3 
 
By purchasing shares of stock in a company, investors can benefit from which of the following? 
An increase in the price of the shares 
An increase in price of the company's debt securities...
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FINRA Practice SIE Exam Study Guide Graded A 2023-2024
- Exam (elaborations) • 12 pages • 2023
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- $10.49
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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 - 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 - 30/360 
 
Blue-sky laws are regulated by which of the following entities? 
SEC 
M...
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