Sie mastery exam - Study guides, Class notes & Summaries

SIE Mastery Exam 1 Review Questions and Answers

SIE Mastery Exam I terms Questions and Answers

Which of the following is NOT personal information related to a customer account? Responses A. Information received from a credit rating agency about that customer B. Data mined from that customer's activities on the member firm's website C. Aggregated information about activities in all customer accounts at that broker-dealer D. Data mined from that customer's activities on web sites linked to the member firm's web siteData mined from that customer's activities on web sites linked to...

SIE Mastery Exam 1 with correct Answers

Smart SIE Mastery Exam 1 Questions and Answers

SIE Mastery Exam 1 Questions With Verified And Updated Solutions. If a corporation's stock price rises to an extremely high level: A trading volume tends to decline and the corporation is likely to split its stock to reduce the market price B trading volume tends to rise and the corporation is likely to split its stock to reduce the market price C trading volume tends to decline and the corporation is likely to buy back shares for its Treasury to increase the market price D trading...

SIE Mastery Exam Practice Questions With Accurate Answers. Which of the following investments typically carries significant liquidity risk? A) T-bills B) Limited partnership C) Listed equities D) Mutual funds - answerB) Limited partnership Limited partnerships are not freely transferable and have no established secondary market. With an LP, assume you will own it through the life of the program. All the others listed have active secondary markets and are very liquid. Diversifying a por...

SIE Mastery Exam Questions With Accurate Answers. The orders that are executed in a rising market are - answer"OSLOBS" - Open Sell Limits and Open Buy Stops The order that are executed if the market drops are - answer"OBLOSS" - Open Buy Limits and Open Sell Stops ABC 8% $100 par preferred is trading at $120 in the market. The current yield is: - answer6.7% formula Current yield = annual income/ Market price current yield= ($8/$120)x 100 Which debt instrument is used to finance impo...

SIE Mastery Exam 1 Questions and Answers

Which statement is BEST regarding participating preferred stock? A The dividend rate is fixed B The dividend rate varies depending on the decision of the Board of Directors C The dividend rate is fixed as to maximum but not as to minimum D The dividend rate is fixed as to minimum but not as to maximum - Answer D++