Under finra rules Study guides, Class notes & Summaries
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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...
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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...
-
MASTERY exam questions with 100% correct answers(graded A+).
- Exam (elaborations) • 182 pages • 2024
-
- $15.99
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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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EXAMFX SIE Questions & Answers | 100% Correct Answers | Verified | Latest 2024 Version
- Exam (elaborations) • 33 pages • 2024
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What is the maximum amount of SIPC coverage available to each separate customer? - $500,000 
including up to $250,000 in cash 
If a customer purchases securities and does not settle the account 4 business days, what should the 
brokerage firm do first? - Ask for an extension of time from the SRO or cancel the trade and sell off 
the purchased securities 
When must a customer who purchases securities in a cash or margin account pay for the securities? - 
4 business days 
What is the maximum insur...
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FINRA SIE Practice QUESTIONS AND ANSWERS 2023 UPDATE GRADED A+
- Exam (elaborations) • 29 pages • 2023
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In a period of low inflation and economic recession, the Federal Reserve is expected to take 
which of the following actions? 
A) Decrease Taxes 
B) Require banks to increase reserve 
C) Buy bonds in the open market - Correct Answer-Buy bonds in the open market 
Under FINRA rules which of the following activities by a registered representative requires 
written notification to her firm? 
A) Gambling resulting in winnings in excess of $10,000 
B) Driving part time for a transportation network com...
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Comprehensive SIE Practice Exam - Complete Solutions (Answered)
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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 ...
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FINRA SIE Real Exam Questions with All Correct Answers
- Exam (elaborations) • 60 pages • 2024
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FINRA SIE Real Exam Questions with All Correct Answers 
 
sell a specific security or securities at all times 
-	Quotes are firm (obligated) for at least 100 shares 
-	100 shares = "a round lot" 
-	Under SRO rules 
 
 
-	Ask = offer represents a clients purchase price 
 
-	Difference in this is called a "spread" 
 
-	The bigger the spread is, the more the market maker makes 
 
assets under management 
 
municipalities on bond offerings and must be registered with the SEC 
-	Typically advise...
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SIE FINRA Practice Exam QUESTIONS AND ANSWERS 2023 UPDATE GRADED A+
- Exam (elaborations) • 39 pages • 2023
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SIE FINRA Practice Exam QUESTIONS AND ANSWERS 2023 UPDATE 
GRADED A+ 
A married couple who earn over 300,000 currently as well as prior two years - Correct Answer- 
Accredited Investor 
Which of responses describes an advantage of index funds - Correct Answer-The protection of 
principal during bearish markets 
Under a system of statutory voting, a common stockholder has as many votes for each vacancy 
on the board of directors as the number of: - Correct Answer-proxies available for voting by t...
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CFP Exam 2024 | 665 QUESTIONS| WITH COMPLETE SOLUTIONS GRADED A+.
- Exam (elaborations) • 72 pages • 2024
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CFP Exam 2024 | 665 QUESTIONS| WITH COMPLETE SOLUTIONS GRADED A+. 
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. Dis...
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FINRA Series 7 Practice Test Questions with Answers
- Exam (elaborations) • 11 pages • 2024
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Under SEC rules, the purchaser of Regulation D private placement must complete and sign a(n): accredited investor questionnaire 
 
How does restricted stock differ from control stock in a Rule 144 sale? control stock must be held fully paid for a minimum of 6 months prior to sale while restricted stock can be sold immediately 
 
The prohibited practice of "spinning" is defined under FINRA rules as an arrangement where a: member firm gives officers of public companies IPO allocations in return ...
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