Sie exam 2023 Study guides, Class notes & Summaries

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 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 network company on ...

FINRA WEBSITE SIE PRACTICE EXAM 2023/2024 QUESTIONS AND ANSWERS GRADED A+

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? ...

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 - ANSWER>>>>>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 - ANSWER>>>>>30/360 Blue-sky laws are...

FINRA Website SIE Practice Exam Questions & Answers. 2023/2024 updates ers, the firm agrees to repurchase the shares at no less than the original cales price. Such agreements are: A. Prohibited as fraudulent and manipulative B. Permissible if the securities are deposite into escrow C. Prohibited unless the firm immediately sets aside funds for the repurchase D. Permissible if the customers retain the right to sell the securities into the open market - A. Prohibited as fraudulent and...

FINRA SIE Exam Questions with Complete Solutions Exempt Securities from SEC Registration - ANSWER -securities listed by the U.S. or federal agencies -Municipal Bonds -Securities issued by banks, savings institutions and credit unions -Public utility stocks or bonds -Securities issued by religious, educational or nonprofit organizations -Notes, bills of exchange, bankers acceptances and commercial paper with an initial maturity of 270 days or less -Insurance policies and fixed annui...

GRMN 101 - Final Exam Question and answers 100% correct 2023/2024die Aufforderung - correct answer request schreiben Sie - correct answer write hören Sie zu - correct answer listen lesen Sie - correct answer read stehen Sie auf - correct a

What are statutory voting rights? correct answers 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? correct answers 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 all 20 shares to vote for a single candidate. ...

A "blue chip" corporation experiencing a short term cash flow shortage could issue: - ANSWER-commercial paper All of the following statements are true about commercial paper EXCEPT commercial paper: - ANSWER-is a funded debt of the issuer Which of the following statements are TRUE about commercial paper? - ANSWER-maximum maturity of 270 days, matures on a pre-set date at a pre-set price, is quotes on a. yield basis, and is an unsecured promissory note Which statements are TRUE about c...

Under SEC regulation S-P, which of the following information must a firm include in its customer privacy and opt-out notices? the policies to protect the security of nonpublic information under industry regulations, an initial purchase of $3,000 of common stock in a margin account requires a cash deposit of $2,000, remember $2000 is the MINIMUM requirement DPPs provide exposure to non-correlated assets the primary purpose of a syndicate desk in the context of an equity of...