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FINRA SIE TESTS CONPILATION BUNDLE
FINRA SIE TESTS CONPILATION BUNDLE
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[Show more]Under the Securities act of 1933, registration is required for which of the following securities? 
 
A. Eurodollar bonds 
B. Municipal securities 
C. American Depositary Receipts (ADRs) 
D. Securities issued by the federal government correct answer: C. American Depositary Receipts 
 
Which of the f...
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Add to cartUnder the Securities act of 1933, registration is required for which of the following securities? 
 
A. Eurodollar bonds 
B. Municipal securities 
C. American Depositary Receipts (ADRs) 
D. Securities issued by the federal government correct answer: C. American Depositary Receipts 
 
Which of the f...
2x sold
Upon Expiration, all in-the-money S&P 100 Index call options are settled by the delivery of which of the following? correct answer: Cash 
 
Which of the following statements is true about treasury stock? correct answer: It is issued stock that has been subsequently reacquired by the corporation 
 ...
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Add to cartUpon Expiration, all in-the-money S&P 100 Index call options are settled by the delivery of which of the following? correct answer: Cash 
 
Which of the following statements is true about treasury stock? correct answer: It is issued stock that has been subsequently reacquired by the corporation 
 ...
If interest Rates fall the issuer will most likely call which bonds first? correct answer: 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 answer: Conversion of convertible preferred ...
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Add to cartIf interest Rates fall the issuer will most likely call which bonds first? correct answer: 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 answer: Conversion of convertible preferred ...
Exempted issuers are defined under the: correct answer: -Securities Act of 1933 
 
Which of the following securities are exempt from the registration provisions of the Securities Act of 1933? correct answer: -U.S. Government issues 
 
-U.S. Government agency issues 
 
-General Obligation Bonds 
 
...
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Add to cartExempted issuers are defined under the: correct answer: -Securities Act of 1933 
 
Which of the following securities are exempt from the registration provisions of the Securities Act of 1933? correct answer: -U.S. Government issues 
 
-U.S. Government agency issues 
 
-General Obligation Bonds 
 
...
Exempt Securities from SEC Registration correct answer: -securities listed by the U.S. or federal agencies 
-Municipal Bonds 
-Securities issued by banks, savings institutions and credit unions 
-Public utility stocks or bonds 
-Securities issued by religious, educational or nonprofit organizations...
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Add to cartExempt Securities from SEC Registration correct answer: -securities listed by the U.S. or federal agencies 
-Municipal Bonds 
-Securities issued by banks, savings institutions and credit unions 
-Public utility stocks or bonds 
-Securities issued by religious, educational or nonprofit organizations...
Which stakeholder has first claim priority in a Chapter 11 proceeding? correct answer: Secured Debt Holders 
 
What is a firm required to do when receiving cash in excess of $10,000 from one customer in one business day? correct answer: File a Currency Transaction Report 
 
If a registered represe...
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Add to cartWhich stakeholder has first claim priority in a Chapter 11 proceeding? correct answer: Secured Debt Holders 
 
What is a firm required to do when receiving cash in excess of $10,000 from one customer in one business day? correct answer: File a Currency Transaction Report 
 
If a registered represe...
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 correct answer: Buy bonds in the open market 
 
Under FINRA rules which of the f...
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Add to cartIn 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 correct answer: Buy bonds in the open market 
 
Under FINRA rules which of the f...
FINRA SIE Outline| 107 Questions| With Complete Solutions 
The Securities Act of 1933 correct answer: The Securities Act of 1933 focused on greater transparency for investors 
 
After the stock market crash of 1929, it was passed into law to protect investors. 
 
Greater financial transparency and...
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Add to cartFINRA SIE Outline| 107 Questions| With Complete Solutions 
The Securities Act of 1933 correct answer: The Securities Act of 1933 focused on greater transparency for investors 
 
After the stock market crash of 1929, it was passed into law to protect investors. 
 
Greater financial transparency and...
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 answer: NAV computed after the order is received 
 
The computation...
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Add to cartThe 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 answer: NAV computed after the order is received 
 
The computation...
Roth 401 (k) and Roth individual retirement account (IRA) plans share which of the following features? correct answer: Qualified distributions are excluded from federal income tax 
 
All of the following risks apply to both foreign and domestic debt instruments except: correct answer: Exchange 
 
...
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Add to cartRoth 401 (k) and Roth individual retirement account (IRA) plans share which of the following features? correct answer: Qualified distributions are excluded from federal income tax 
 
All of the following risks apply to both foreign and domestic debt instruments except: correct answer: Exchange 
 
...
What is the U.S. Government agency that has enforcement authority over the U.S. securities markets? correct answer: SEC 
 
Both FINRA and the Securities and Exchange Commission (SEC) regulate and have enforcement capability over the U.S. securities markets and market participants. However, the SEC ...
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Add to cartWhat is the U.S. Government agency that has enforcement authority over the U.S. securities markets? correct answer: SEC 
 
Both FINRA and the Securities and Exchange Commission (SEC) regulate and have enforcement capability over the U.S. securities markets and market participants. However, the SEC ...
Under SEC regulation S-P, which of the following information must a firm include in its customer privacy and opt-out notices? correct answer: the policies to protect the security of nonpublic information 
 
under industry regulations, an initial purchase of $3,000 of common stock in a margin accoun...
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Add to cartUnder SEC regulation S-P, which of the following information must a firm include in its customer privacy and opt-out notices? correct answer: the policies to protect the security of nonpublic information 
 
under industry regulations, an initial purchase of $3,000 of common stock in a margin accoun...
Convertible Bondholders - Creditors of a corporations 
 
Dollar quote - Percentage of par quote 
 
Term bonds - Quoted as a percentage of par 
 
Series bonds - Same maturity, different dates of issuance 
 
Serial bond - Same date of issuance, different maturity 
 
Serial bond offering - Single issue...
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Add to cartConvertible Bondholders - Creditors of a corporations 
 
Dollar quote - Percentage of par quote 
 
Term bonds - Quoted as a percentage of par 
 
Series bonds - Same maturity, different dates of issuance 
 
Serial bond - Same date of issuance, different maturity 
 
Serial bond offering - Single issue...
how are in the money index calls options delivered correct answer: cash 
 
qualified distribution correct answer: deductible- excluded from fed income tax 
 
nonsystematic risk correct answer: bysiness or selection 
 
asset back security correct answer: traded based on average life rather than s...
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Add to carthow are in the money index calls options delivered correct answer: cash 
 
qualified distribution correct answer: deductible- excluded from fed income tax 
 
nonsystematic risk correct answer: bysiness or selection 
 
asset back security correct answer: traded based on average life rather than s...
All of the following would be taxed at "earned income" rates under IRS regulations EXCEPT: correct answer: -Interest payments 
 
Under the Internal Revenue Code, royalty income from books, plays, or magazine articles, is reported as: correct answer: -earned income 
 
Which of the following would...
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Add to cartAll of the following would be taxed at "earned income" rates under IRS regulations EXCEPT: correct answer: -Interest payments 
 
Under the Internal Revenue Code, royalty income from books, plays, or magazine articles, is reported as: correct answer: -earned income 
 
Which of the following would...
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