Sie practice - Study guides, Class notes & Summaries

Primary vs. Secondary Distribution A primary distribution involves a sale of newly issued shares by the issuer while a secondary distribution involved the sale of already issued and outstanding shares. In the OTC market, the term "spread" refers to the diff. between: Bid and asked prices offered and asked prices indicated and firm prices opening and closing prices Bid and asked prices Margin account requirements: Initial transaction: 50% or min. of $2,000 Maintenance Margin: 25% ...

SIE PRACTICE EXAM QUESTIOS AND ANSWERS

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The primary purpose of a syndicate desk in the context of an equity offering is to: - ANSWERbuild an order book and allocate the stock Which of the following responses describes an advantage of index funds? - ANSWERLower management fees due to passive management of the fund Which of the following comparisons best describes the essential difference between a primary distribution and a secondary distribution? - ANSWERA primary distribution involves a sale of newly issued shares by the issuer...

STC SIE Practice Exams #'s 3 & 4 | Questions and Correct Answers | latest Update 2024/2025 | 100% PASS If a brokerage firm creates an in-house, non-cash incentive program, it is permitted to be based on: A. The total amount of sales executed by the RR B. The specific type of product being sold by the RR C. The most suitable products being sold by the RR D. Only the equity securities being sold by the RR - Answer -A. The total amount of sales executed by the RR The person who distri...

The Securities & Exchange Commission (SEC) was created by Congress in A 1929 B 1933 C 1934 D 1940 - ANSWER1934 The Act of '34 created the SEC. The term 'disclaimer' is most often associated with A The fact that no agent can guarantee a customer against loss B The fact that unregistered securities are more risky than registered ones C The fact that the government cannot guarantee the accuracy of the information in a prospectus D None of the above - A...

SIE PRACTICE EXAM VERIFIED QUESTIONS AND ANSWERS LATEST SOLUTION

SIE Practice Exam With complete solutions latest update 2024

SIE practice exam With complete solutions latest update

FINRA SIE Practice Exam With 100% Correct Answers 2023/2024