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SIE EXAM 2024 STUDY GUIDE WITH VERIFIED SOLUTIONS Federal Reserve Board - Answer️️ -Founded on December 23rd 1913, to oversee financial panics. Independent of direct political influence. Federal Reserve Act was passed to stabilize prices, maximize employment, moderate long term interest. FINRA vs MSRB - Answer️️ -FINRA oversees brokerage firms and their associated persons. MSRB- regulates the municipal securities market including dealers, municipal advisers, and issuers. Municip...

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? - M3 By purchasing shares of stock in a company, investors can benefit from which of the following? An increase in the price of the shares An increase in price of the company's debt securities...

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? - M3 By purchasing shares of stock in a company, investors can benefit from which of the following? An increase in the price of the shares An increase in price of the company's debt securities...

SIE Final Exam Study Guide with Verified Solutions The cost basis for inherited securities is: - Answer️️ -The value of the securities on the date the original owner dies Liquidity risk - Answer️️ -the risk that the investor will not be able to sell an investment quickly and at a fair price Reinvestment risk - Answer️️ -is the risk of getting your investment back early and being unable to find an equally attractive new investment to put that money into Inflation Risk (Purchas...

SIE Exam Study Guide with Verified Solutions purpose of securities industry - Answer️️ -matching investors with money to issuers that need that money to finance issuer - Answer️️ -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, corps, banks methods issuers use to raise capital - Answer️️ -1) issue debt securities (bonds) and 2) issues equity securi...

SIE Exam Unit 10 Study Guide with Verified Solutions Organization that regulates all matters related to investment banking (securities underwriting), trading in over the counter (OTC) market, trading in exchange-listed securities, and the conduct of FINRA member firms and associated persons - Answer️️ -FINRA What does FINRA stand for? - Answer️️ -Financial Industry Regulatory Authority FINRA's purpose and objective is to ________________________ the investment banking and securi...