Bearish - Study guides, Class notes & Summaries
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CAIA Level 1 Questions and Answers 100% Accurate
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CAIA Level 1 Questions and Answers 100% Accurate 
liquid alternatives 
Liquid alternatives typically have (1) constraints on permissible investments strategies (for example, liquidity and leverage limits), (2) no incentive fees, (3) less skilled managers as a result of less attractive compensation and limited strategies, and (4) an inability to earn substantial illiquidity premiums. 
 
constrained clone - A liquid investment fund that seeks to replicate the strategy of an existing alternative in...
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SIE Practice Test from FINRA (Test questions with 100% accurate answers)
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1. Under normal circumstances, a customer's LOI on a mutual fund purchase is valid for what amx period time? 
A. 3 months 
B. 6 months 
C. 13 months 
24 months correct answers C. 13 months 
 
FinCEN accomplishes its mission to safeguard the financial system from the abuses of financial crime, including terrorist financing and money laundering, by enforcing: 
A. SEC regulations 
B. The Bank Secrecy Act 
C. The Securities Act of 1933 
D. The Investment Company Act of 1940 correct answers B. The B...
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SIE Exam Definitions 2023/24
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12b-1 fee 
an annual fee charged by a mutual fund for its marketing and distribution costs. Also called a maintenance fee or distribution fee. 
 
 
 
529 College Savings Plan 
A tax-free savings plan that offers families professionally managed portfolios to help meet specified college expenses. 
 
 
 
A shares 
a class of mutual fund shares that have a front-end sales charge, expressed as a percentage of its net asset value. 
 
 
 
ABLE account 
a tax-advantaged savings account for disabled peop...
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SIE EXAM UNIT 3 Questions with Verified Answers_100%
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SIE EXAM UNIT 3 Questions with 
Verified Answers_100% 
ABC stock is currently trading at $63. Julia Miller would like to 
purchase ABC stock, but not at $63. If the price of ABC stock were 
to fall to $58 or less, then Miller wants to buy the stock. Which 
type of order should Miller place considering her objective? 
A. Market order 
B. Buy limit 
C. Buy stop 
D. Buy stop limit (Correct) - B. buy limit 
While market orders are always executed immediately at the current 
market price, limit orde...
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CAIA Level 1 Exam Questions With Correct Answers
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liquid alternatives - Answer Liquid alternatives typically have (1) constraints on permissible investments strategies (for example, liquidity and leverage limits), (2) no incentive fees, (3) less skilled managers as a result of less attractive compensation and limited strategies, and (4) an inability to earn substantial illiquidity premiums. 
 
constrained clone - A liquid investment fund that seeks to replicate the strategy of an existing alternative investment but imposes some constraint (e.g....
Too much month left at the end of the money?
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SIE FINRA Practice Exam QUESTIONS AND ANSWERS 2023 UPDATE GRADED A+
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A married couple who earn over 300,000 currently as well as prior two years - Correct AnswerAccredited 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 the 
board 
Which security types provides investors with a stated matu...
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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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Achievable SIE Exam questions and answers
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issuer 
an organization that distributes and sells securities to investors 
 
 
 
security 
legal term for investment (stocks, bonds, mutual funds, options, ETFs) 
 
 
 
equity 
formal term for ownership 
 
 
 
two ways to make money on common stock 
1. capital appreciation/gains 
2. cash dividends 
 
 
 
retained earnings 
profits retained by a company that are often used to expand and reinforce business operations, NOT paid by dividend 
 
 
 
growth companies 
direct profits back into operatio...
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SIE FINRA Practice Questions & Answers 100% Verified
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SIE FINRA Practice Questions & Answers 100% 
Verified 
A married couple who earn over 300,000 currently as well as prior two years - 
Correct AnswerAccredited 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 th
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CMT level 3 Exam With Questions & Veried Answers Latest 2023/2024 Update Already Graded A
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CMT level 3 Exam With Questions & Veried Answers Latest 2023/2024 Update Already Graded A 
A strong open followed by strong close will allow trader to do what? - ANSWER>>Buy on a pullback after next open. 
A weak close after strong open will allow trader to do what? - ANSWER>>Sell short near following open 
Highs and lows occur where during the day? - ANSWER>>Most often at the open 
Large opening gaps imply what about the day? - ANSWER>>Greater volatility 
Pivot point cal...
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