Sie options 2023 - Study guides, Class notes & Summaries

Call option Gives the holder the right, but not the obligation to buy a fixed amount of securities at a fixed price for a fixed period of time . They pay a premium-the marker price of the contract. Holder must deliver cash and take delivery of stock (buy stock) Customer is fealing bullish if he buys a call contract Settlement time for call contract 2 business days after exercise days Holder Buyer (long) If a customer buys a put contract they are feeling: Bearish ...

SIE exam caril: complete study guide Q-bank answered latest spring 2023. What type of risk is unique to a specific industry, business enterprise, or investment type? - Under which of the following circumstances is an investor in a position to acquire stock? - Options- a premium - Options- strike price A customer believes that ABC's price will go up but does not have the money to buy 100 shares right now. How could the customer use options to profit from an increase in the sto...

SIE Study Guide question with verified solution 2023 Section 1: Knowledge of Capital Markets - correct answer The SEC purpose/mission when created jurisdiction authority - correct answer protect investos, maintin fair orderly & efficient markets, facilitate capital formation by congress in 1934 US federal government enforce federal security laws & create laws that regulate securities industry enforces Securities act 1933/1934, trust indenture act 1939, investment company ac...

SIE Exam 2023 questions and answers 100% verified. What is cost basis? A The original purchase price plus any transaction costs B The transaction charges affiliated with the purchase of any security C The net after-tax purchase price per share of common stock D The amount of any gain or loss if a different transaction had occurred - correct answers.A. The original purchase price plus any transaction costs Which of the following corporate securities carries the greatest risk to the in...

SIE exam caril questions & answers 2023/2024 What type of risk is unique to a specific industry, business enterprise, or investment type? - ANSWER-Nonsystematic risk Under which of the following circumstances is an investor in a position to acquire stock? - ANSWER-Buy a call, sell a call (The holder of a call has the right to buy stock at the strike price if exercised. The seller of a put is obligated to buy stock at the strike price if exercised) Options- a premium - ANSWER-the cost of...

FINRA Practice SIE Exam Questions & Answers 2023/2024 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 ...

SIE Exam 2023(updated)question and answers fully solvedWhat is cost basis? A The original purchase price plus any transaction costs B The transaction charges affiliated with the purchase of any security C The net after-tax purchase price per share of common stock D The amount of any gain or loss if a different transaction had occurred - correct answer A. The original purchase price plus any transaction costs Which of the following corporate securities carries the greatest risk to th...

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...

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...