Sie mastery exam - Study guides, Class notes & Summaries

SIE Mastery Exam Questions With Verified And Updated Solutions. Which of the following may be considered suspicious? - answerA customer unconcerned about losses A corporate stock transaction occurs regular way on Monday, August 3. Ownership of the securities is recognized as changing hands between buyer and seller on - answerWednesday, August 5. (T+2) Your customers, Frank and Gracia Chen, are considering investing in a private placement to add to their portfolio. They mention they are a...

Numbers measuring the output of goods and services have been declining for just under two years. The economy would be characterized as A) being in an economic trough within the business cycle. B) being in a depression. C) being just under the recessionary measurement threshold. D) expanding. - Answer B) being in a depression.

Index ETF - Answer Like a Mutual Fund but Traded Passively Managed Negotiable Net Asset Value - Answer Same as "Bid" NAV per share decreases if a dividend is paid

SIE Mastery Exam II Questions With Complete Solutions A customer sells short 100 shares of ABC stock at $60 and sells 1 ABC Oct 60 Put @ $6. The maximum potential loss is: A. unlimited B. limited C. $6,000 D. $600 ️️A. If the market rises, the short put expires, and the short stock position must be covered by making a purchase in the market. The loss potential is unlimited. The regulator that has primary responsibility for enforcing anti-money laundering laws is:

SIE Mastery Exam Practice Questions With Complete Solutions Which of the following investments typically carries significant liquidity risk? A) T-bills B) Limited partnership C) Listed equities D) Mutual funds ️️B) 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.

SIE Mastery Exam 2 Questions and Answers

SIE Mastery Exam Questions With Complete Solutions Which of the following may be considered suspicious? ️️A customer unconcerned about losses A corporate stock transaction occurs regular way on Monday, August 3. Ownership of the securities is recognized as changing hands between buyer and seller on ️️Wednesday, August 5. (T+2) Your customers, Frank and Gracia Chen, are considering investing in a private placement to add to their portfolio. They mention they are accredited in...

ABC gold mining company has issued a preferred stock. Dividends on the issue may be paid as: - Answer Cash only A customer buys 100 shares of preferred at $101 per share. The par value is $100. The dividend rate is 8%. Each dividend payment will be: - Answer $400 If interest rates fall, issuers most likely will call: (missed twice) - Answer preferred issues with above market interest rates

Which of the following investments typically carries significant liquidity risk? A) T-bills B) Limited partnership C) Listed equities D) Mutual funds Ans: B) 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 portfolio may help mitigate which of these types of risk? A) Ma...

A customer buys 100 shares of ABC stock which is now trading at $63. A month later the market goes to $65. The customer thinks the market will remain near $65 in the following months, so he decides to sell 1 ABC Sept 65 Call @ $3. ABC then goes to $60 and the customer's call contract expires and the customer decides to liquidate his stock position at the current market price. The customer has: - Answer no gain or loss A customer buys 300 shares of ABCD stock at $67 per share and then write...