Sie exam part 1 Study guides, Class notes & Summaries

SIE - REGULATIONS - FINRA RULES part 1 Questions and Answers 2023, graded A+ ll of the following statements are true regarding the U.S. securities markets EXCEPT: A The Federal Reserve Board decides which securities can be traded on margin B FINRA has regulatory authority over the U.S. securities markets and market participants in the trading of all non-exempt securities C The Securities and Exchange Commission has regulatory authority over the U.S. securities market and market part...

SIE Practice Exam (Answered 2022) Graded A+ Which of the following statements is true regarding the concept of an annuity contract? a) Payouts of an investment in a nonqualified annuity are all income tax-free b) The kind of annuity selected partly determines the payment amounts to the annuitant c) In the case of life annuity contracts, the age and sex of the annuitant do not affect the payment amounts d) The amounts of the periodic payments to the annuitant are determined by the perf...

Achievable SIE Exam questions and answers well illustrated. issuer - correct organization that distributes and sells securities to investors security - correct term for investment (stocks, bonds, mutual funds, options, ETFs) equity - correct l term for ownership two ways to make money on common stock - correct answers.1. capital appreciation/gains 2. cash dividends retained earnings - correct ts retained by a company that are often used to expand and reinf...

CFP Practice Test 2023 CFP Standards of Conduct Sections (6) - CORRECT ANSWER-A. Duties owed to clients. B. Fin. Planning and Application of Practice Standards C. Practice Standards for Fin. Planning Process D. Duties owed to firms/subordinates E. Duties owed to CFP Board F. Prohibition on Circumvention Section A of CFP Standards of Conduct - CORRECT ANSWER-Duties owed to Client: 1. Fiduciary Duty 2. Integrity 3. Competence 4. Diligence 5. Disclose and Manage Conflicts of Interest ...

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

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

SIE Exam questions and answers rated A+. Do common stock holders have to right to inspect all books of a company? - correct answers.No, only certain items suchs as the income statement and balance sheet Order of asset distribution - correct answers.Taxes Secured debt Unsecured debt Preferred stock holders Common stock holders What type of corporate security is considered the riskiest? - correct answers.Common stock Of all securities, common stock has histo...

SIE Exam Unit 1 questions and answers well illustrated. The securities industry's primary regulatory body and created under what act? - correct answers.SEC, Securities Exchange Act of 1934 Function under the SEC's oversight and is accountable to the Commission for enforcing federal securities laws, as well as supervising securities practices within an assigned jurisdiction. - correct answers.Self Regulatory organizations (SRO) what are the largest SROs - co...

SIE practice exam questions and answers latest top score. A customer writes an MMM January 70 put at 6. The maximum potential gain on this position is - correct answers.600 Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is - correct answers.7300 Large time deposits of more than $100,000 are considered to be found in what part of the money supply? - correct answers.M3 By purchasing shares of stock in a company, investors can ben...

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