Turn Your C's to A's.

SIE Exam Bundle Pack:::Questions and Answers | 100% Correct

Sie exam study guide with complete solutions MSRB - Answer️️ -Municipal Securities Rulemaking Board GO Bonds - Answer️️ -Generally obligation bonds: municipal bonds that are back by the full faith and credit of the taxpayers and must be approved by taxpayers. capital appreciation bond (CAB) - Answer️️ -a long-term, high-interest-paying bond that pays off both principal and interest in one lump sum when the bond reaches maturity Revenue Bonds - Answer️️ -Bonds to be repaid...

SIE Exam Practice Questions and Answers (100% Pass) Which of the following is a true statement regarding warrants? A) Warrants are normally issued along with a bond offering as a unit. B) The warrant allows the holder to exercise and purchase the stock at a price lower than the market. C) Warrants are short-term instruments, typically 30 to 45 days. D) Warrants are issued to existing shareholders on a basis of one right for one existing share. - Answer️️ -Warrants are normally iss...

SIE Exam Practice Questions and Answers (100% Pass) A broker-dealer must establish info barriers between two departments? a. Research & Compliance b. Retail & Institutional Sales c. HR & Retail Sales d. Investment Banking. & Trading - Answer️️ -d. Investment Banking. & Trading A registered representative persuades a customer to purchase a security by assuring her that, should it fall in value, the representative will make up the difference in the account. This practice is: a. Permit...

SIE Exam Practice Questions and Answers (100% Pass) industrial development revenue bonds - Answer️️ -Industrial development revenue bonds are a type of taxable municipal security that is issued by a municipality on behalf of a corporation. Specifically, the municipality will issue to debt to build a facility on behalf of a corporation and then lease that facility to the corporation. Because the bonds are backed by lease payments made by the corporation, the debt is the responsibility a...

SIE EXAM PRACTICE QUESTIONS AND ANSWERS (100% CORRECT) What right do common share holders not have? A. Right to vote B. inspect books & Records C. Preemptive rights D. Dividends - Answer️️ -D. Dividends common share holders also do not make decisions about management preemptive right - Answer️️ -The shareholder has the right to buy common stock before anyone else corporate dissolution - Answer️️ -common shareholders are last in line in the case of the company going bankrup...

SIE Exam Practice Questions and Answers (100% Pass) The maximum annual contribution in a Roth IRA is - Answer️️ -$6,000 What types of distributions from Roth IRA are tax free - Answer️️ -Qualified Are employee deferrals to the regular 401(k) pre-tax or post-tax? - Answer️️ - Pre-tax Deferrals allocated to the Roth account are pre-tax or post-tax? - Answer️️ -Post- tax In which type of transaction does the confirmation and settlement occur on the trade date? - Answer️️...

SIE Exam Practice Questions and Answers (100% Pass) No- Load Mutual funds may have lower expense ratios than load mutual funds for which reason? - Answer️️ -No-load funds are not permitted to charge a 12b-1 fee greater than 25 basis points Under normal circumstances, a customer's letter of intent on a mutual fund purchase is valid for what maximum period of time? - Answer️️ -13 months At the time of issuance, which of the following securities normally has the longest period to ex...

SIE Exam Practice Questions and Answers (100% Pass) SEC Rule 147 provided - Answer️️ -an exemption from the 1933 Act for certain types of offerings A covered person fails to complete the regulatory element when required - Answer️️ -this individual is RESTRICTED from receiving compensation for performing any activities that require registration Who can make a catch-up contribution to a traditional IRA? - Answer️️ -People over 50! What is regular way settlement when trading lis...

SIE Exam Practice Questions and Answers (100% pass) growth companies typically do not pay a _____________ - Answer️️ -dividend statutory voting - Answer️️ -allows stockholder only the amount of votes they have towards each BOD position. Ex: An investor has 100 shares, 3 BOD position open. He has 300 votes, 100 for each position cumulative voting - Answer️️ -shareholder can combine votes into one BOD position. Ex: An investor has 100 shares, 3 BOD position open. He has 300 vot...