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SIE Practice Exam Questions & Answers(RATED A)
Which corporate voting procedures entitles a shareholder to one vote per share, and votes must be divided evenly among the candidates being voted on? - ANSWER 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 buyers. - ANSWER Third market
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- • 7 pages •
Which corporate voting procedures entitles a shareholder to one vote per share, and votes must be divided evenly among the candidates being voted on? - ANSWER 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 buyers. - ANSWER Third market
FINRA SIE Practice Exam Correct Questions & Answers(GRADED A)
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 - ANSWER 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 comp...
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- • 15 pages •
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 - ANSWER 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 comp...
SIE practice exam Questions & Answers(RATED A)
A customer writes an MMM January 70 put at 6. The maximum potential gain on this position is - ANSWER 600 Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is - ANSWER 7300 Large time deposits of more than $100,000 are considered to be found in what part of the money supply? - ANSWER M3
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- • 7 pages •
A customer writes an MMM January 70 put at 6. The maximum potential gain on this position is - ANSWER 600 Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is - ANSWER 7300 Large time deposits of more than $100,000 are considered to be found in what part of the money supply? - ANSWER M3
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Federal Reserve Board - ANSWER Founded on December 23rd 1913, to oversee financial panics. Independent of direct political influence. Federal Reserve Act was passed to stabilize prices, maximize employment, moderate long term interest. FINRA vs MSRB - ANSWER FINRA oversees brokerage firms and their associated persons. MSRB- regulates the municipal securities market including dealers, municipal advisers, and issuers. Municipal Securities Rulemaking Board Structure of the Fed - ANSWER Th...
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- • 21 pages •
Federal Reserve Board - ANSWER Founded on December 23rd 1913, to oversee financial panics. Independent of direct political influence. Federal Reserve Act was passed to stabilize prices, maximize employment, moderate long term interest. FINRA vs MSRB - ANSWER FINRA oversees brokerage firms and their associated persons. MSRB- regulates the municipal securities market including dealers, municipal advisers, and issuers. Municipal Securities Rulemaking Board Structure of the Fed - ANSWER Th...
FINRA SIE Practice Exam Questions & Answers(RATED A)
When is interest on Treasury notes paid? A.) Quarterly B.) Semiannually C.) Annually D.) At maturity - ANSWER B.) Semi-annually The computation of dollar prices and accrued interest on municipal bonds is normally on what calendar basis? A.) 30/360 B.) 30/365 C.) Actual/360 D.) Actual/365 - ANSWER A.) 30/360 Which of the following security types provides investors with a stated maturity date, a floating interest rate, and an option to put the security back to a financial interme...
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- • 15 pages •
When is interest on Treasury notes paid? A.) Quarterly B.) Semiannually C.) Annually D.) At maturity - ANSWER B.) Semi-annually The computation of dollar prices and accrued interest on municipal bonds is normally on what calendar basis? A.) 30/360 B.) 30/365 C.) Actual/360 D.) Actual/365 - ANSWER A.) 30/360 Which of the following security types provides investors with a stated maturity date, a floating interest rate, and an option to put the security back to a financial interme...
FINRA SIE Practice Questions & Answers
Roth 401 (k) and Roth individual retirement account (IRA) plans share which of the following features? - ANSWER Qualified distributions are excluded from federal income tax All of the following risks apply to both foreign and domestic debt instruments except: - ANSWER Exchange
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- • 3 pages •
Roth 401 (k) and Roth individual retirement account (IRA) plans share which of the following features? - ANSWER Qualified distributions are excluded from federal income tax All of the following risks apply to both foreign and domestic debt instruments except: - ANSWER Exchange
FINRA SIE Practice Test|| 75 Questions || Correct Answers|| 100% Verified
Upon Expiration, all in-the-money S&P 100 Index call options are settled by the delivery of which of the following? - ANSWER Cash Which of the following statements is true about treasury stock? - ANSWER It is issued stock that has been subsequently reacquired by the corporation In the event of a stock split, which of the following parties is required to maintain a record of the shareholders eligible to receive the additional
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Upon Expiration, all in-the-money S&P 100 Index call options are settled by the delivery of which of the following? - ANSWER Cash Which of the following statements is true about treasury stock? - ANSWER It is issued stock that has been subsequently reacquired by the corporation In the event of a stock split, which of the following parties is required to maintain a record of the shareholders eligible to receive the additional
SIE Exam- Unit 1 (Knowledge of Capital Markets)Correct 100%
SEC- - ANSWER Securities and exchange commission is the securities industry's primary regulatory body. Which act created the SEC? - ANSWER The securities exchange act of 1934 What is the purpose of registering with the SEC - ANSWER If you conduct securities business with either customers or broker dealers; you must be apply and be approved for registration with the SEC
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- • 9 pages •
SEC- - ANSWER Securities and exchange commission is the securities industry's primary regulatory body. Which act created the SEC? - ANSWER The securities exchange act of 1934 What is the purpose of registering with the SEC - ANSWER If you conduct securities business with either customers or broker dealers; you must be apply and be approved for registration with the SEC
FINRA's SIE EXAM 1 Questions & ANSWERS(RATED A)
An associated person who is not a registered representative is permitted to engage in which of the following? - ANSWER provide account opening forms to a new customer At issue, which of the following debt securities mature in one year or less? - ANSWER money market instruments Direct participation programs provide - ANSWER exposure to non-correlated assets with steady returns
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- • 4 pages •
An associated person who is not a registered representative is permitted to engage in which of the following? - ANSWER provide account opening forms to a new customer At issue, which of the following debt securities mature in one year or less? - ANSWER money market instruments Direct participation programs provide - ANSWER exposure to non-correlated assets with steady returns
FINRA SIE Practice Exam Review Correct 100%
Direct Participation Programs (DPPs) provide: - ANSWER exposure to non-correlated assets with steady returns Under Federal Reserve Regulation T, a 90-day restriction is imposed when a customer opens and closes which of the following positions? - ANSWER The same stock in a cash account without paying for the stock in full Under the securities act of 1933, registration is required for which of the following securities - ANSWER American Depository Receipts (ADRs)
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- • 4 pages •
Direct Participation Programs (DPPs) provide: - ANSWER exposure to non-correlated assets with steady returns Under Federal Reserve Regulation T, a 90-day restriction is imposed when a customer opens and closes which of the following positions? - ANSWER The same stock in a cash account without paying for the stock in full Under the securities act of 1933, registration is required for which of the following securities - ANSWER American Depository Receipts (ADRs)
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Washington State Insurance Regulations (Property & Casualty)Correct 100%