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Exam FX, SIE Study Guide, Chapter 1, Questions.

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The redemption value of an open-end investment company's shares is based on the: previous offering price previous closing NAV NAV computed after the order is received offering price computed after the order is received - NAV computed after the order is received The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar basis? 30/360 30/365 Actual/360 Actual/365 - 30/360 Blue-sky laws are regulated by which of the following entities? SEC M...

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SIE FINRA Exam Study Guide with Complete Solutions The Federal regulatory body that governs the securities industry is: - Answer️️ -The SEC A fully disclosed BD: - Answer️️ -is an inducing firm clearing its transactions through a carrying firm An intermediary between the buy and sell sides of a transaction is known as - Answer️️ -a clearing agent For the Depository Trust and Clearing Corporation (DTCC), all of the following are true EXCEPT: a. it is a member of the Federal ...

SIE Exam Part 3 Unit 27 Study Guide with Complete Solutions FINRA - Answer️️ -who holds BDs to general standards regarding all member firm communications - all member firm communications must be based on the principles of fair dealing and good faith - institutional - retail - correspondence - Answer️️ -in accordance with FINRA, what are the three categories of communication? institutional communication - Answer️️ -category of communication - means any written (including el...

SIE Exam (Lesson 13: FINRA Registration) Study Guide with Complete Solutions SEC ️️ Correct- Government agency whose primary mission is to matin the integrity of the US markets and protect investors (more big picture) SEC Empowers __________ with certain enforcement responsibilities within the securities industry ️️ Correct Self-regulatory organizations - FINRA (SRO) --> regulates broker-dealers and registered reps - MSRB (SRO) --> regulates municipal securities market, b...

SIE Exam - Finra Study Guide with Complete Solutions In which of the follow situations is an employee of a public company permitted to trade upon information without violating insider trading laws - Answer️️ -An independent securities analyst explains for the company next quarter could be markedly poorer than expected Under rule 144A, an issuer of a restricted stock is permitted to sell to which of the following investors - Answer️️ -Qualified Institutional Buyers (QIBs) A regist...

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