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SIE Exam Bundle Pack:::Questions and Answers | 100% Correct
SIE Exam Bundle Pack:::Questions and Answers | 100% Correct
[Show more]SIE Exam Bundle Pack:::Questions and Answers | 100% Correct
[Show more]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...
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Add to cartSIE 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...
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 compensatio...
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Add to cartSIE 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 compensatio...
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 ...
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Add to cartSIE 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 ...
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 ...
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Add to cartSIE 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 ...
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 - A...
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Add to cartSIE 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 - A...
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...
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Add to cartSIE 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...
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...
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Add to cartSIE 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...
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) 
Wa...
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Add to cartSIE 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) 
Wa...
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 (...
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Add to cartSie 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 (...
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