Sie exam part 1 Study guides, Class notes & Summaries

SIE Mastery Exam 1 Questions With Accurate Answers. Which statement is TRUE when comparing types of management companies? - answerOpen-end funds are mutual funds while closed-end funds are publicly traded funds Which of the following is NOT part of the secondary market? - answerFifth Market The term "publicly traded fund" is the common name for a(n): - answerclosed end management company Which of the following is a redeemable security? - answerOpen-end fund American Depositary Receipts...

Module 1 Mastery Exam Sie Questions And Answers Which of the following activities is permitted during the "cooling off" period? ️️Accepting an indication of interest from the customer for part of the issue What is permitted during the 20-day cooling off period for an Initial Public Offering? ️️Road show Private placements offered under Regulation D are exempt from: ️️Registration with the SEC What type of transaction has the greatest financial risk for a broker-dealer r...

SIE practice exam question with complete solution 2023A customer writes an MMM January 70 put at 6. The maximum potential gain on this position is - correct answer 600 Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is - correct answer 7300 Large time deposits of more than $100,000 are considered to be found in what part of the money supply? - correct answer M3 By purchasing shares of stock in a company, investors can benefit from which of the followi...

Comprehensive SIE Practice Exam - Complete Solutions (Answered) The primary purpose of a syndicate desk in the context of an equity offering is to: build an order book and allocate the stock Which of the following responses describes an advantage of index funds? Lower management fees due to passive management of the fund Which of the following comparisons best describes the essential difference between a primary distribution and a secondary distribution? A primary distribution involves a sale ...

SIE mastery Exam Questions With Accurate Answers. Which statement is TRUE when comparing types of management companies? - answerOpen-end funds are mutual funds while closed-end funds are publicly traded funds Which of the following is NOT part of the secondary market? - answerFifth Market The term "publicly traded fund" is the common name for a(n) - answerclose ended management company Which of the following is a redeemable security? - answerOpen-end fund American Depositary Receipts w...

SIE Exam - Part 1 question with complete solution rated A+ 2023Issuer - correct answer A legal entity that sells securities in order to finance its operations Debt Securities - correct answer Publicly traded loans in which the amount of indebtedness (principle) that the issuer owes the investor (creditor) is lent for a specific period (until maturity) (aka "bond") Equity Securities - correct answer An investor purchases an ownership share of a company and the profits are directly tied t...

Part of the SIE Exam note package, covers Unit 1 - Primary and Secondary Markets. All key information has been bolded/underlined, including textbook screenshots and emphasis on key test topics. A must for anyone studying for the FINRA Securities Industry Exam on short notice!

SIE Mastery Exam 3 Review Questions With Verified And Updated Solutions. Which of the following securities is NOT exempt from the Securities Act of 1933? A. Municipal revenue bond issues B. Common carrier issues C. Income bond issues D. U.S. Government bond issues - answerC. Income bond issues Which of the following activities is allowed prior to the filing of the registration statement? A. Sending a customer a "red herring" preliminary prospectus B. Accepting an indication of interes...

SIE Exam questions and answers well illustrated. 1933 Securities Act (Paper Act) - correct forth accounting and disclosure requirements for initial offerings of securities (stocks and bonds) 1934 Securities and Exchange Commission (SEC) - correct answers.Supervised the country's Stock Commission Exchanges and eliminated dishonest practices Maloney Act of 1938 - correct answers.Allowed self-regulation of securities industry through trade associations such as the N...

SIE EXAM question and answers rated A+ 2023 GRADED A+ Which shares of preferred stock may increase the most if the value of the company's common stock appreciates? - correct answer Convertible preferred stock can be exchanged for the common stock of the issuer. For that reason, if the common stock's value increases, the market value of the convertible preferred stock will also increase. Activities of Non-registered Persons - correct answer extend invites to firm events, inquire as to whe...