Sro exam - Study guides, Class notes & Summaries

Electron configuration for cations - CORRECT ANSWER Subtract 1 from exponent of highest n-value orbital (ex. remove from 4s before 3d) Ag+ = [Kr]5s^1 4d^9 Electron configuration for anions - CORRECT ANSWER Add 1 to closest orbital Cl- = [Ne]3s^2 3p^6 Atomic orbitals - CORRECT ANSWER s, p, d, f Primary vs secondary structures of proteins - CORRECT ANSWER Primary - AA chain (linked by peptide bonds) Secondary - stabilized by non-covalent bonds (alpha helices & beta sheets) M...

FINRA SIE Real Exam Questions with All Correct Answers Types of Issuers - CORRECT ANSWERS - FCBUS F oreign gov C orporations B anks U .S. Treasury and gov agencies S tate and local gov - raise capital by issuing securities EQUITY = used by corporations (represents ownership) DEBT = represent an issuer's promise to pay (notes and bonds) Broker-Dealer - CORRECT ANSWERS - Broker acts as a middle man between buyer and seller (no risk to the firm)...

NC BLET STATE EXAM OBJECTIVES, Questions and answers, 100% Accurate, rated A+ List four way to submit criminal fingerprint cards and final disposition reports to the Identification Section of the State Bureau of Investigation (SBI) - -First Class Mail Courier Service In Person Electronic Transmission (live-scan) The most reliable form of identification - -fingerprints Fingerprints are the primary source for... - -Criminal History A report of disposition and fingerprint cards s...

Securities Industry Essentials Exam Questions And Answers Securities and Exchange Commission - ANS (SEC) created under the Securities Exchange Act of 1934, this is the security industry's primary regulatory body. Brokers/Dealers must apply and be approved for registration with the SEC. The SEC also regulates all exchanges and trading markets. What is a broker/dealer subject to if they do not comply with SEC rules? - ANS censure, limits on activities, functions, or operations, suspensio...

Triad Model - ANSWER-Law Enforcement- Teaching- Counseling First SRO program - ANSWER-Flint Michigan in 1953 National Advisory Commission on Criminal Justice Standards and Goals - ANSWER-1973- the first time that a national body set goals for an SRO program Two SRO responses to incidents - ANSWER-Reactive and Proactive Traditional Policing Method - ANSWER-Reactive, incident driven, "us vs. them" Community Policing Method - ANSWER-Proactive, problem oriented, police role extends ...

Securities Industry Essentials Exam Questions With Correct Solutions What is an SRO, list them. - ANS Self Regulated Organization 1. FINRA (Financial Industry Regulatory Authority) 2. CBOE (Chicago Board Options Exchange) 3. MSRB (Municipal Securities Rulemaking Board) Federal Reserve Board (FRB), what is its main function - ANS Determines monetary policy . The FRB determines through its actions how much money is available for businesses and consumers to spend. Securities Investor ...

SIE Exam Questions & Answers 2023/2024 SIE Purpose and Mission - ANSWER-A U.S. government oversight agency responsible for regulating the securities markets and protecting investors. The mission of the SEC is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. Definition of SEC - ANSWER-The U.S. Securities and Exchange Commission (SEC) is an independent federal government regulatory agency responsible for protecting investors, maintaini...

Conduct and Practices Handbook (CPH) Exam 136 Questions with Answers Duty of care - CORRECT ANSWER This refers to obligation #3 of registered representative (RR) about acting honestly, in good faith, and in a professional manner. This is a requirement to provide advice to clients with those attributes in mind along with the proper skills and knowledge to do so. It is important to note that the standard of care provided is not a standard of perfection. RRs are usually held to this standard muc...

SIE Exam Unit 1 Questions & Answers 2023/2024 The securities industry's primary regulatory body and created under what act? - ANSWER-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. - ANSWER-Self Regulatory organizations (SRO) what are the largest SROs - ANSWER-Financial Industry Regulation Authority (FINRA), Ch...

FINRA SIE Real Exam Questions with All Correct Answers Types of Issuers - CORRECT ANSWERS - FCBUS F oreign gov C orporations B anks U .S. Treasury and gov agencies S tate and local gov - raise capital by issuing securities EQUITY = used by corporations (represents ownership) DEBT = represent an issuer's promise to pay (notes and bonds) Broker-Dealer - CORRECT ANSWERS - Broker acts as a middle man between buyer and seller (no risk to the firm) - payed Commission - Dealer ac...