Sie unit 4 - Study guides, Class notes & Summaries

Regulations Finra Rules Questions and Answers 100% correct 2023 All of the following statements are true regarding the U.S. securities markets EXCEPT: A FINRA has regulatory authority over the markets and market participants in the trading of all non-exempt securities B the Federal Reserve Board decides securities can be traded on margin C the Securities and Exchange Commission has regulatory authority over the securities markets and its participants D the MSRB has regulatory authority ...

SIE Study Set Final Order of Asset Distribution upon Liquidation - Answer- 1) Taxes 2) Secured Debt 3) Unsecured Debt 4) Preferred Stockholder 5) Common Stockholders Round lot Unit of trading - Answer- 100 shares Cyclical Stock - Answer- Heavily affected by economic cycles Ex) Auto manuf or Steel companies Non-Cyclical/Defensive Stocks - Answer- Sheltered from normal business/economic cycles ex) Tobacco, people still smoke regardless of economy Counter Cyclic...

FINRA SIE Exam Questions and Answers 100% Correct 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 effe...

FINRA SIE Practice Exam Questions and Answers | 100% Pass When is interest on Treasury notes paid? A.) Quarterly B.) Semiannually C.) Annually D.) At maturity - ️️ Correct-B.) Semi-annually The computation of dollar prices and accrued interest on municipal bonds is normally on what calendar basis? A.) 30/360 B.) 30/365 C.) Actual/360 D.) Actual/365 - ️️ Correct-A.) 30/360 Which of the following security types provides investors with a stated maturity date, a floating intere...

UNIT 10 SIE EXAM PREP QUESTIONS AND ANSWERS | VERIFIED AND UPDATED Which of the following is the largest self-regulating organization (SRO)? A) SEC B) CBOE C) FINRA D) MSRB - Answer️️ -C Financial Industry Regulatory Authority (FINRA) staff must submit new rules and await approval from which of the following regulatory bodies prior to becoming effective? A) Securities and Exchange Commission (SEC) B) Municipal Securities Rule Board (MSRB) C) TITLE: EMILLYCHARLOTTE 2024/202...

SIE Exam 2021. All Questions with accurate answers, 100% verified. What are statutory voting rights? - -Allows the shareholder to vote one time per share for each seat on the board. If the investor owns 10 shares, she can use 10 shares to vote for position #1 and 10 shares to vote for position #2. What are cumulative voting rights? - -Allows the shareholder to pool votes together and then allocate as desired. If the investor owns 10 shares and there are 2 open seats, she can use a...

SIE Exam Unit 18 – Issues Questions and Answers | 100% Pass All of the following would be required for a discretionary account except A) the account must receive Financial Industry Regulatory Authority (FINRA) approval prior to the first trade. B) a principal at the firm must authorize discretion. C) all trades must be promptly approved by a principal at the firm. D) the customer must authorize discretion. - Answer️️ -The account must receive Financial Industry Regulatory Authority...

SIE: Regulations (FINRA Rules) Exam Practice Questions and Answers | 100% Pass What is the U.S. Government agency that has enforcement authority over the U.S. securities markets? - Answer️️ -SEC Both FINRA and the Securities and Exchange Commission (SEC) regulate and have enforcement capability over the U.S. securities markets and market participants. However, the SEC is a government agency, while FINRA is an SRO - a self-regulatory organization under SEC oversight. The Municipal Se...

FINRA SIE Exam (Answered 2022) Grade A+ 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 Value) B...