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FINRA SIE Exam Questions and Answers 100% Pass
FINRA SIE Exam Questions and Answers 100% Pass 
If interest Rates fall the issuer will most likely call which bonds first? - Correct 
Answer️️ -High Dividend Rate preferred issues trading at a premium 
What are some actions by a corporation will affect an individuals common shareholder's 
equity - Correct Answer️️ -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 ...
- Exam (elaborations)
- • 25 pages •
FINRA SIE Exam Questions and Answers 100% Pass 
If interest Rates fall the issuer will most likely call which bonds first? - Correct 
Answer️️ -High Dividend Rate preferred issues trading at a premium 
What are some actions by a corporation will affect an individuals common shareholder's 
equity - Correct Answer️️ -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 ...
![](/docpics/5666843/66713294a5a0a_5666843_121_171.jpeg)
FINRA Practice SIE Exam Questions and Answers 100% Pass
FINRA Practice SIE Exam Questions and 
Answers 100% Pass 
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 - Correct Answer️️ -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 - C...
- Exam (elaborations)
- • 21 pages •
FINRA Practice SIE Exam Questions and 
Answers 100% Pass 
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 - Correct Answer️️ -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 - C...
![](/docpics/5666841/667132919ed25_5666841_121_171.jpeg)
Series 6 Exam Study Questions with 100% Correct Answers
Series 6 Exam Study Questions with 
100% Correct Answers 
What factors determine the number of annuity units an investor will receive after 
annuitizing a variable annuity? - Correct Answer️️ -1) The payout option 
2) Assumed interest rate (AIR) 
3) The annuitant's age 
4) The annuitant's gender 
Who must sign a new account form? - Correct Answer️️ -The two signatures required 
on a new account form are from the registered representative and the principal. 
What is the purpose of the f...
- Exam (elaborations)
- • 11 pages •
Series 6 Exam Study Questions with 
100% Correct Answers 
What factors determine the number of annuity units an investor will receive after 
annuitizing a variable annuity? - Correct Answer️️ -1) The payout option 
2) Assumed interest rate (AIR) 
3) The annuitant's age 
4) The annuitant's gender 
Who must sign a new account form? - Correct Answer️️ -The two signatures required 
on a new account form are from the registered representative and the principal. 
What is the purpose of the f...
![](/docpics/5666840/6671326197b8c_5666840_121_171.jpeg)
Series 7 Practice Questions with Correct Answers
Series 7 Practice Questions with Correct Answers 
An investor tells his rr to purchase 50m EGG 11.7% debenture bonds. The order goes 
through and the bonds are purchased for 113. A year before the bond matures, it is 
valued at 103. What is this called? - Correct Answer️️ -Amortization 
In oil and gas limited partnerships is the risk greater in developmental or exploratory 
programs? - Correct Answer️️ -exploratory 
What is the best way to measure the GNP? (gross national product) - Corr...
- Exam (elaborations)
- • 16 pages •
Series 7 Practice Questions with Correct Answers 
An investor tells his rr to purchase 50m EGG 11.7% debenture bonds. The order goes 
through and the bonds are purchased for 113. A year before the bond matures, it is 
valued at 103. What is this called? - Correct Answer️️ -Amortization 
In oil and gas limited partnerships is the risk greater in developmental or exploratory 
programs? - Correct Answer️️ -exploratory 
What is the best way to measure the GNP? (gross national product) - Corr...
![](/docpics/5666836/6671325e7553b_5666836_121_171.jpeg)
SIE Practice Exam Questions and Answers 100% Pass
SIE Practice Exam Questions and 
Answers 100% Pass 
Which corporate voting procedures entitles a shareholder to one vote per share, and 
votes must be divided evenly among the candidates being voted on? - Correct 
Answer️️ -Statutory voting 
What market refers to the trading of exchange-listed securities in the over-the-counter 
market? These trades allow institutional investors to trade blocks of securities directly, 
rather than through an exchange, providing liquidity and anonymity to buy...
- Exam (elaborations)
- • 11 pages •
SIE Practice Exam Questions and 
Answers 100% Pass 
Which corporate voting procedures entitles a shareholder to one vote per share, and 
votes must be divided evenly among the candidates being voted on? - Correct 
Answer️️ -Statutory voting 
What market refers to the trading of exchange-listed securities in the over-the-counter 
market? These trades allow institutional investors to trade blocks of securities directly, 
rather than through an exchange, providing liquidity and anonymity to buy...