Sie study guide - Study guides, Class notes & Summaries

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Sie exam study guide with complete solutions MSRB - Answer️️ -Municipal Securities Rulemaking Board GO Bonds - Answer️️ -Generally obligation bonds: municipal bonds that are back by the full faith and credit of the taxpayers and must be approved by taxpayers. capital appreciation bond (CAB) - Answer️️ -a long-term, high-interest-paying bond that pays off both principal and interest in one lump sum when the bond reaches maturity Revenue Bonds - Answer️️ -Bonds to be repaid...

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SIE Study Guide question with verified solution 2023 Section 1: Knowledge of Capital Markets - correct answer The SEC purpose/mission when created jurisdiction authority - correct answer protect investos, maintin fair orderly & efficient markets, facilitate capital formation by congress in 1934 US federal government enforce federal security laws & create laws that regulate securities industry enforces Securities act 1933/1934, trust indenture act 1939, investment company ac...

SIE Exam Study Guide With Complete Solution

Section 1: Knowledge of Capital Markets - ANSWER The SEC purpose/mission when created jurisdiction authority - ANSWERprotect investos, maintin fair orderly & efficient markets, facilitate capital formation by congress in 1934 US federal government enforce federal security laws & create laws that regulate securities industry enforces Securities act 1933/1934, trust indenture act 1939, investment company act 1940, investment advisors act 1940 SROs (Self-Regulatory Organizati...