Finra SIE

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 even...

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 - ANSWERC. American Depositary Receipts Which of the following ou...

If you are considering taking the SIE exam, there are several excellent study courses online. Some are bundled with other top-off exams, such as the CFA exam, and others are standalone. The most popular method, the SIE Premier Package, includes print materials and a live class. Surgent SIE Review E...

The redemption value of an open-ended investment company's shares is based on the: - Correct Answer-Net assets value computed after the order is received An associated person who is not a registered representative is permitted to engage in which of the following activities? - Correct Answer-Prov...

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...

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 ...

The redemption value of an open-ended investment company's shares is based on the: - Correct Answer-Net assets value computed after the order is received An associated person who is not a registered representative is permitted to engage in which of the following activities? - Correct Answer-Prov...

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...

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 ...