Sie unit 1 - Study guides, Class notes & Summaries
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SIE Study Set Final Questions & Answers
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SIE Study Set Final 
 
Order of Asset Distribution upon Liquidation - Answer- 1) Taxes 
2) Secured Debt 
3) Unsecured Debt 
4) Preferred Stockholder 
5) Common Stockholders 
 
Round lot Unit of trading - Answer- 100 shares 
 
Cyclical Stock - Answer- Heavily affected by economic cycles 
Ex) Auto manuf or Steel companies 
 
Non-Cyclical/Defensive Stocks - Answer- Sheltered from normal business/economic cycles 
ex) Tobacco, people still smoke regardless of economy 
 
Counter Cyclic...
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FINRA SIE Exam Questions and Answers 100% Correct 2023
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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...
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SIE Exam Unit 1 Questions with accurate answers. Latest update. 99% Verified.
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SIE Exam Unit 1 Questions with accurate answers. Latest update. 99% Verified. 
 
 
 
The securities industry's primary regulatory body and created under what act? - -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. - -Self Regulatory organizations (SRO) 
 
what are the largest SROs - -Financial Industry Regulation Aut...
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SIE (MASTERY TEST) 2022/2023 WITH COMPLETE SOLUTIONS
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SIE (MASTERY TEST) 
2022/2023 WITH 
COMPLETE 
SOLUTIONS 
This study source was downloaded by from CourseH on :49:57 GMT -06:00 

All of the following are U.S. government agency debt securities EXCEPT 
A) Government National Mortgage Association securities 
B) Farm Credit Administration securities 
C) Federal National Mortgage Association securities 
D) Treasury notes - ANSWER D) Treasury notes 
GNMA, Freddie & Fannie, Farm Credit Admin 
Numbers measuring the output of goods and services hav...
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SIE (MASTERY TEST) 2022/2023 WITH COMPLETE SOLUTIONS This study source was downloaded by 100000835361505 from CourseHero.com on 03-08-2023 02:49:57 GMT -06:00 https://www.coursehero.com/file/169679227/All-of-the-following-are-Udocx/ All of the followi
- Exam (elaborations) • 10 pages • 2023
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SIE (MASTERY TEST) 
2022/2023 WITH 
COMPLETE 
SOLUTIONS 
This study source was downloaded by from CourseH on :49:57 GMT -06:00 

All of the following are U.S. government agency debt securities EXCEPT 
A) Government National Mortgage Association securities 
B) Farm Credit Administration securities 
C) Federal National Mortgage Association securities 
D) Treasury notes - ANSWER D) Treasury notes 
GNMA, Freddie & Fannie, Farm Credit Admin 
Numbers measuring the output of goods and services hav...
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FINRA Practice SIE Exam Questions And Answers
- Exam (elaborations) • 12 pages • 2023
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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 -...
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SIE Exam 2021. All Questions with accurate answers, 100% verified.
- Exam (elaborations) • 32 pages • 2023
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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...
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FINRA SIE Exam Multiple Choice Questions Correct Answers Provided
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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/...
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FINRA SIE Exam (Answered 2022) Grade A+
- Exam (elaborations) • 14 pages • 2024
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FINRA SIE Exam (Answered 2022) Grade A+ 
 
 
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) 
B...
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SIE Exam Unit 1 with 100% correct answers
- Exam (elaborations) • 10 pages • 2023
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Available in package deal
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SIE Exam Unit 1 with 100% correct answers
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