Sie exam state farm - Study guides, Class notes & Summaries

Finra SIE Exam Study Guide Latest Update Exempt Securities from SEC Registration - ️️ Correct--securities listed by the U.S. or federal agencies -Municipal Bonds -Securities issued by banks, savings institutions and credit unions -Public utility stocks or bonds -Securities issued by religious, educational or nonprofit organizations -Notes, bills of exchange, bankers acceptances and commercial paper with an initial maturity of 270 days or less -Insurance policies and fixed annuities...

SIE Exam State Farm

SIE Exam State Farm Define Stock They are also called equities & represent ownership in companies and are issued by corporations. Bonds 1. Also called debt or sometimes notes. They can be issued by a corporation or government entity. The owner is the lender issuer is the debtor. Characteristics of Common Stock 1. All companies issue common stock. 2. Ownership position 3. Most Junior all securities. Why Purchase Common Stock? 1. Capital Gains (BUY LOW SELL HIGH) 2. Dividends. Growth S...