Closed end funds - Study guides, Class notes & Summaries
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MASTERY EXAM #1 questions with 100% correct answers(graded A+)
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In a corporate liquidation, the last to get paid is: 
 
A. Unpaid wages and taxes 
B. Bondholders 
C. Preferred stockholders 
D. Common stockholders 
D. Common stockholders 
 
 
 
All of the following are types of oil and gas direct participation programs EXCEPT: 
 
A. Balanced 
B. Income 
C. Exploratory 
D. Developmental 
A. Balanced 
 
 
 
 
The term "publicly traded fund" is the common name for a(n): 
 
A. open end management company 
B. closed end management company 
C. fixed unit investme...
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SIE Exam Section 2: Understanding Products and Their Risks
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Common Stock - ANSWER-Is a security that represents ownership in a corporation. 
 
Exercise control by electing a board of directors and voting on corporate policy. 
 
Are on the bottom of the priority ladder for ownership structure 
 
Have rights to a company's assets only after bondholders, preferred shareholders and other debt holders are paid in full. 
 
Preferred Stock - ANSWER-Is a class of ownership in a corporation that has a higher claim on its assets and earnings than common stock. ...
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MASTERY EXAM 1 exam questions with 100% correct answers(graded A+).
- Exam (elaborations) • 182 pages • 2024
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An open-end management company is a: 
 
 
 
 
A. 
mutual fund 
 
 
 
B. 
publicly traded fund 
 
 
 
C. 
fixed unit investment trust 
 
 
 
D. 
real estate investment trust 
A. 
mutual fund 
 
 
 
To impose the maximum sales charge, under FINRA rules, mutual funds must offer investors all of the following benefits EXCEPT: 
 
 
 
 
A. 
Breakpoints 
 
 
 
B. 
Plan Completion Insurance 
 
 
 
C. 
Rights of Accumulation 
 
 
 
D. 
Letter of Intent 
B. 
Plan Completion Insurance 
 
 
 
 
A closed-end...
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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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MASTERY EXAM 1 questions and answers correct
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MASTERY EXAM 1 questions and 
answers correct 
1.An open-end management company is a: 
A. 
mutual fund 
b. 
publicly traded fund 
C. 
fixed unit investment trust 
D. 
real estate investment trust - A. 
mutual fund 
2.To impose the maximum sales charge, under FINRA rules, mutual funds must offer investors all of the 
following benefits EXCEPT: 
A. 
Breakpoints 
B. 
Plan Completion Insurance 
C. 
Rights of Accumulation 
D. 
Letter of Intent - B. 
3.Plan Completion Insurance 
A closed-end managemen...
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MASTERY EXAM 1 QUESTIONS AND ANSWERS ALREADY PASSED
- Exam (elaborations) • 152 pages • 2023
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MASTERY EXAM 1 QUESTIONS AND ANSWERS ALREADY PASSED 
An open-end management company is a: 
A. 
mutual fund 
B. 
publicly traded fund 
C. 
fixed unit investment trust 
D. real estate investment trust A. mutual fund 
To impose the maximum sales charge, under FINRA rules, mutual funds must offer investors all of the following benefits EXCEPT: 
A. 
Breakpoints 
B. 
Plan Completion Insurance 
C. 
Rights of Accumulation 
D. Letter of Intent B. Plan Completion Insurance 
A closed-end management company...
-
MASTERY exam questions with 100% correct answers(graded A+).
- Exam (elaborations) • 182 pages • 2024
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An open-end management company is a: 
 
 
 
 
A. 
mutual fund 
 
 
 
B. 
publicly traded fund 
 
 
 
C. 
fixed unit investment trust 
 
 
 
D. 
real estate investment trust 
A. 
mutual fund 
 
 
 
To impose the maximum sales charge, under FINRA rules, mutual funds must offer investors all of the following benefits EXCEPT: 
 
 
 
 
A. 
Breakpoints 
 
 
 
B. 
Plan Completion Insurance 
 
 
 
C. 
Rights of Accumulation 
 
 
 
D. 
Letter of Intent 
B. 
Plan Completion Insurance 
 
 
 
 
A closed-end...
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GFEBS L210E Financials Process Overview EXAM 2023 WITH QUALITY ANSWERS
- Exam (elaborations) • 2 pages • 2023
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a jv is created when it is necessary to 
request adjustment of accounting entries 
transfer funds from one gl account to another 
 
 
 
Reconciling the Army's cash account with the U.S. Treasury is a critical aspect of maintaining the Army's General Fund GL and fund balance with the U.S. Treasury 
true 
 
 
 
Which of the options below provides a uniform COA and technical guidance to be used in standardizing federal agency accounting? 
USSGL 
None of the above 
 
 
 
Activities involved in the...
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SIE Mastery Exam I Study Guide With Accurate Solutions.
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SIE Mastery Exam I Study Guide With 
Accurate Solutions. 
Common Stock - answerNegotiable 
Not Callable 
Not Convertible 
Not Redeemable 
Common Dividends - answerDeclared Quarterly 
Paid Quarterly 
Preferred Stock - answerNegotiable 
Callable 
Convertible 
Cumulative 
Participating 
Preferred Dividends - answerPaid Semi-Annually 
Cash Only 
Equity Ownership of a Corporation - answerAny... 
Common Stock 
Preferred Stock 
Treasury Stock - answerIssued shares minus outstanding shares 
Management C...
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CAIA Practice Questions
- Exam (elaborations) • 28 pages • 2024
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CAIA Practice Questions 
 
What assets are often characterized as traditional by some and alternatives by others in: hedge 
funds, private equity, and real assets - Hedge Funds: Liquid alternative mutual funds 
 
Private Equity: Closed-end funds with illiquid holdings 
 
Real Assets: Public real estate and public equities of corporations with performance dominated 
by stable positions in real assets 
 
4 major methods of analysis that distinguish the analysis of alternative investments from trad...
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