FINRA SIE 2024 EXAM PACKAGE DEAL ALREADY GRADED TO PASS!!

What type of risk is unique to a specific industry, business enterprise, or investment type? - Nonsystematic risk Under which of the following circumstances is an investor in a position to acquire stock? - Buy a call, sell a call (The holder of a call has the right to buy stock at the strike pric...

A customer writes an MMM January 70 put at 6. The maximum potential gain on this position is - 600 Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is - 7300 Large time deposits of more than $100,000 are considered to be found in what part of the money supply? ...

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 - Answer C. American Depositary Receipts Which of the following out...

purpose of securities industry - matching investors with money to issuers that need that money to finance issuer - legal entity that sells securities in order to finance its operations (business, governments) ie. us treasury, us gov agencies, foreign governments, state and local governments, corp...

Upon Expiration, all in-the-money S&P 100 Index call options are settled by the delivery of which of the following? - Cash Which of the following statements is true about treasury stock? - It is issued stock that has been subsequently reacquired by the corporation In the event of a stock split, ...

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 - Answer 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? - Statutory voting What market refers to the trading of exchange-listed securities in the over-the-counter market? These trades allow institutional...

If interest Rates fall the issuer will most likely call which bonds first? - High Dividend Rate preferred issues trading at a premium What are some actions by a corporation will affect an individuals common shareholder's equity - Conversion of convertible preferred stocks or bond Repurchase of ...