SIE (SIE)
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SIE Exam: Missed Questions With Complete Solutions
- Exam (elaborations) • 19 pages • 2023
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What is a "market, not-held" order? correct answer: Customer allows the rep to use her own judgement as to the price and time at which the transactions will be executed 
 
What is the taxation for non-qualified variable annuities? correct answer: - Growth distributions are taxed 
 
How do you calculate the parity price of a stock? correct answer: Parity Price = Market Value / Conversion Ratio = Market Value / (Par Value/Conversion Price) 
 
What is the term to describe rising unemployment a...
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SIE Practice Exam |95 Questions| With Complete Solutions
- Exam (elaborations) • 13 pages • 2023
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when a broker dealer charges a commission on a securities transaction, he is acting as: correct answer: an agent 
 
in the event of a stock split, who maintains a record of the shareholders eligible to receive additional shares? correct answer: transfer agent 
 
an associated person who is not a registered representative is permitted to engage in what activity? correct answer: provide account opening forms to a new customer 
 
what type of security provides investors with a stated maturity da...
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SIE PRACTICE EXAM QUESTIONS AND VOCAB WITH COMPLETE SOLUTIONS
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Business Cycle Order correct answer: Expansion, Peak, Contraction, Trough 
 
Notice Filing correct answer: A method of registering securities at the state level that is only for Federal Covered Securities 
 
Downturns in the business cycle or economic contractions are characterized by all of the following correct answer: higher consumer debt 
rising numbers of bond defaults 
rising numbers of bankruptcies 
 
Which of the following would be associated with loans made to member banks of the Fed...
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SIE exam caril| 288 Questions| With Complete Solutions
- Exam (elaborations) • 46 pages • 2023
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What type of risk is unique to a specific industry, business enterprise, or investment type? correct answer: Nonsystematic risk 
 
Under which of the following circumstances is an investor in a position to acquire stock? correct answer: Buy a call, sell a call (The holder of a call has the right to buy stock at the strike price if exercised. The seller of a put is obligated to buy stock at the strike price if exercised) 
 
Options- a premium correct answer: the cost of an option contract, exp...
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SIE Exam| 555 Questions| With Complete Solutions
- Exam (elaborations) • 237 pages • 2023
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purpose of securities industry correct answer: matching investors with money to issuers that need that money to finance 
 
issuer correct answer: legal entity that sells securities in order to finance its operations (business, governments) ie. us treasury, us gov agencies, foreign governments, state and local governments, corps, banks 
 
methods issuers use to raise capital correct answer: 1) issue debt securities (bonds) and 2) issues equity securities (stocks) 
 
debt securities correct ans...
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FINRA Securities Industry Essentials (SIE) Exam Prep Tax- series 7 Questions With Complete Solutions
- Exam (elaborations) • 49 pages • 2023
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All of the following would be taxed at "earned income" rates under IRS regulations EXCEPT: correct answer: -Interest payments 
 
Under the Internal Revenue Code, royalty income from books, plays, or magazine articles, is reported as: correct answer: -earned income 
 
Which of the following would be defined as "portfolio income" under IRS regulations? correct answer: -Long term capital gains 
 
Royalties received from an oil and gas program are: correct answer: -passive income 
 
An inves...
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Knopman Marks Securities Industry Essentials Flash Cards (SIE) Questions With Complete Solutions
- Exam (elaborations) • 88 pages • 2023
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Do the following Investment Companies/Products offer continuous share offering or fixed share counts? 
 
Mutual Funds 
Closed-End Funds 
UIT 
ETF correct answer: Mutual Funds: Continuous 
Closed-End Funds: Fixed 
UIT: Fixed 
ETF: Fixed 
 
What Term signifies that a share of common stock can be freely transferred, assigned, or delivered to another entity? 
a) Fungible 
b)Negotiable 
c)Portable 
d)Endorsable correct answer: b - A negotiable security is one that can be freely transferred, assigne...
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Knopman Marks SIE Exam| 417 Questions| With Complete Solutions
- Exam (elaborations) • 48 pages • 2023
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Regular Way Settlement for Equities correct answer: T + 2 
 
The First Day that a Buyer Buys Stock Without a Dividend correct answer: Ex-Dividend date 
 
The Last Day a Buyer Can Buy Stock and Receive the Dividend correct answer: business day before the ex-date 
 
When Ex-Dividend Date Happens Relative to the Record Date for Regular Way Trades correct answer: 1 business day before 
 
Fixed Rate Equity Security that Responds to Market Conditions like a Bond correct answer: Preferred Stock 
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FINRA SIE practice exam Questions Amd Answers With Complete Solutions
- Exam (elaborations) • 6 pages • 2023
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how are in the money index calls options delivered correct answer: cash 
 
qualified distribution correct answer: deductible- excluded from fed income tax 
 
nonsystematic risk correct answer: bysiness or selection 
 
asset back security correct answer: traded based on average life rather than stated maturity 
 
which action is required for BD AML program correct answer: designate AML compliance officer 
 
muni accruied interest method correct answer: 30/360 
 
stock exchange member willin...
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FINRA SIE Bond Basics Questions With Complete Solutions
- Exam (elaborations) • 3 pages • 2023
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Convertible Bondholders - Creditors of a corporations 
 
Dollar quote - Percentage of par quote 
 
Term bonds - Quoted as a percentage of par 
 
Series bonds - Same maturity, different dates of issuance 
 
Serial bond - Same date of issuance, different maturity 
 
Serial bond offering - Single issue date, differing maturities 
 
Capital appreciation - Benefit of a zero coupon bond 
 
Discount - Par value in excess of purchase price 
 
Depreciation - Non-cash expense, loss in value of an asset 
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