Sie options 2023 - Study guides, Class notes & Summaries

FINRA SIE 2023 Practice Test Questions with All Correct Answers A decline in the gross domestic product (GDP) must last for at least how many quarters to be considered a recession? - ANSWER 2 quarters Under FINRA rules, which of the following activities by a registered representative requires written notification to her firm? - ANSWER Driving part time for a transportation network company on weekends Under Rule 144A, an issuer of restricted stock is permitted to sell to which of the follo...

What is the "intrinsic value" of the following contract? 1 ABC Jan 55 Put @ $9ABC Market Price = $49 - ANSWER-$6 (55-49=6) An investor writes 1 ABC Jan 45 Put @ $3. The contract subsequently is exercised. The writer is obligated to: - ANSWER-buy stock at $45 per share The holder of a Put on a listed stock exercises. The holder must: - ANSWER-deliver stock An investor purchases 1 ABC Jan 45 Call @ $3. The investor subsequently exercises his option contract. The holder has the right to:...

SIE Exam 2023 | questions and answers GRADED A+ What is cost basis? A The original purchase price plus any transaction costs B The transaction charges affiliated with the purchase of any security C The net after-tax purchase price per share of common stock D The amount of any gain or loss if a different transaction had occurred - A. The original purchase price plus any transaction costs Which of the following corporate securities carries the greatest risk to the investor? A Co...

SIE (MASTERY TEST) 2022/2023 WITH COMPLETE SOLUTIONS This study source was downloaded by from CourseH on :49:57 GMT -06:00 All of the following are U.S. government agency debt securities EXCEPT A) Government National Mortgage Association securities B) Farm Credit Administration securities C) Federal National Mortgage Association securities D) Treasury notes - ANSWER D) Treasury notes GNMA, Freddie & Fannie, Farm Credit Admin Numbers measuring the output of goods and services hav...

SIE EXAM CARIL COMPLETE EXAM UPDATE STUDY GUIDE SOLUTION 2023 What type of risk is unique to a specific industry, business enterprise, or investment type? Under which of the following circumstances is an investor in a position to acquire stock? Options- a premium - Options- strike price - A customer believes that ABC's price will go up but does not have the money to buy 100 shares right now. How could the customer use options to profit from an increase in the stock's price? ...

SIE (MASTERY TEST) 2022/2023 WITH COMPLETE SOLUTIONS This study source was downloaded by from CourseH on 03-08-2023 02:49:57 GMT -06:00 All of the following are U.S. government agency debt securities EXCEPT A) Government National Mortgage Association securities B) Farm Credit Administration securities C) Federal National Mortgage Association securities D) Treasury notes - ANSWER D) Treasury notes GNMA, Freddie & Fannie, Farm Credit Admin Numbers measuring the output of goods and...

FINRA SIE Exam Question & Answers Spring 2023. If interest Rates fall the issuer will most likely call which bonds first? - High Dividend Rate preferred issues trading at a premium What are some actions by a corporation will affect an individuals common shareholder's equity - Conversion of convertible preferred stocks or bond Repurchase of common shares Issuance of additional common shares (Stock splits do not effect shareholders equity but it must be voted on because it effects Par V...

FINRA SIE Exam Question & Answers Spring 2023. If interest Rates fall the issuer will most likely call which bonds first? - High Dividend Rate preferred issues trading at a premium What are some actions by a corporation will affect an individuals common shareholder's equity - Conversion of convertible preferred stocks or bond Repurchase of common shares Issuance of additional common shares (Stock splits do not effect shareholders equity but it must be voted on because it effects Par V...