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SIE Practice Exam Questions and Answers | 100% Pass
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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- Statutory voting What market refers to the trading of exchange-listed secu...

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  • September 25, 2024
  • 12
  • 2024/2025
  • Exam (elaborations)
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  • sie practice exam questions and answers 100 pas

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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024

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-

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. -

✔️✔️Correct-Third market

An investor sells a naked call on Omikron for a $250 premium. What is true regarding

the investors position? - ✔️✔️Correct-The investor's potential loss is unlimited

Which act created the SEC and empowered it with broad authority over all aspects of

the securities industry? - ✔️✔️Correct-Securities Exchange Act of 1934

A free tool provided by FINRA that is intended to help consumers research the

professional backgrounds of brokers and brokerage firms, as well as investment advisor

firms and advisors? - ✔️✔️Correct-BrokerCheck

The Federal Reserve Board performs what actions? - ✔️✔️Correct-It sets monetary

policy, but does not set tax policy




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, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
An offering of shares to existing stockholders on a pro-rata basis is called a -

✔️✔️Correct-Rights offering

The difference between a bond's price and the conversion parity price is referred to as -

✔️✔️Correct-conversion premium

An individual who meets what criteria must register as an investment adviser? -

✔️✔️Correct-The individual provides advice or analyses concerning securities

The individual is in the business of providing investment advice

The individual provides investment advice for compensation

A type of preferred stock that gives the investor the right to receive dividends equal to

the normally specified rate, as well as an additional dividend based on a specific

predetermined condition is called a - ✔️✔️Correct-participating preferred stock

Profit sharing plans have what characteristic? - ✔️✔️Correct-they can be invested entirely

in company stock

What is true regarding the Central Registration Depository (CRD)? - ✔️✔️Correct-It was

developed by NASAA and the NASD

It consolidated a multiple paper-based state licensing and regulatory process into a

single, nationwide computer system

Its computerized database contains the licensing and disciplinary histories on more than

650,000 securities professionals and 5,200 securities firms

Who is responsible for maintaining fair and orderly markets for an assigned set of listed

firms? They operate both manually and electronically to facilitate price discovery during
2/12

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