Sie exam 2024 - Study guides, Class notes & Summaries

SIE EXAM 2024 With Complete Solutions Latest Update 2024

FINRA SIE Exam 222 Questions with Verified Answers 2023/2024

FINRA SIE EXAM 219 Questions with Verified Answers 2024

SIE Exam 2024 With complete solutions latest update

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 stocks or bond Repurchase of common shares Issuance of additional common shares (Stock splits do not effect shareholders equity but it must be voted on because it effects Par Value) Bene...

Which of the following statements is true regarding the concept of an annuity contract? a) Payouts of an investment in a nonqualified annuity are all income tax-free b) The kind of annuity selected partly determines the payment amounts to the annuitant c) In the case of life annuity contracts, the age and sex of the annuitant do not affect the payment amounts d) The amounts of the periodic payments to the annuitant are determined by the performance of the insurance company's investment re...

Which of the following statements is true regarding the concept of an annuity contract? a) Payouts of an investment in a nonqualified annuity are all income tax-free b) The kind of annuity selected partly determines the payment amounts to the annuitant c) In the case of life annuity contracts, the age and sex of the annuitant do not affect the payment amounts d) The amounts of the periodic payments to the annuitant are determined by the performance of the insurance company's investment re...

SIE EXAM SECURITIES INDUSTRY ESSENTIALS EXAM 2024 | ALL QUESTIONS AND CORRECT ANSWERS | ALREADY GRADED A+ | LATEST VERSION (JUST RELEASED)

1933 Securities Act (Paper Act) - ANSWERsets forth accounting and disclosure requirements for initial offerings of securities (stocks and bonds) 1934 Securities and Exchange Commission (SEC) - ANSWERSupervised the country's Stock Commission Exchanges and eliminated dishonest practices Maloney Act of 1938 - ANSWERAllowed self-regulation of securities industry through trade associations such as the National Association of Securities Dealers (NASD) Investment Company Act of 1940 - ANSWE...

issuer - ANSWERan organization that distributes and sells securities to investors security - ANSWERlegal term for investment (stocks, bonds, mutual funds, options, ETFs) equity - ANSWERformal term for ownership two ways to make money on common stock - ANSWER1. capital appreciation/gains 2. cash dividends retained earnings - ANSWERprofits retained by a company that are often used to expand and reinforce business operations, NOT paid by dividend growth companies - ANSWERdirect prof...