Sie unit 2 - Study guides, Class notes & Summaries
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SIE Exam Unit 10 Study Guide with Verified Solutions
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SIE Exam Unit 10 Study Guide with 
Verified Solutions 
Organization that regulates all matters related to investment banking (securities 
underwriting), trading in over the counter (OTC) market, trading in exchange-listed 
securities, and the conduct of FINRA member firms and associated persons - 
Answer️️ -FINRA 
What does FINRA stand for? - Answer️️ -Financial Industry Regulatory Authority 
FINRA's purpose and objective is to ________________________ the investment 
banking and securi...
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SIE Exam Part 3 Unit 27 Study Guide with Complete Solutions
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SIE Exam Part 3 Unit 27 Study Guide 
with Complete Solutions 
FINRA - Answer️️ -who holds BDs to general standards regarding all member firm 
communications 
- all member firm communications must be based on the principles of fair dealing and 
good faith 
- institutional 
- retail 
- correspondence - Answer️️ -in accordance with FINRA, what are the three 
categories of communication? 
institutional communication - Answer️️ -category of communication 
- means any written (including el...
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SIE Exam 2021. All Questions with accurate answers, 100% verified.
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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...
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SIE EXAM UNIT 4 QUESTIONS AND ANSWERS | 100% PASS
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SIE EXAM UNIT 4 QUESTIONS AND 
ANSWERS | 100% PASS 
FINRA membership eligibility standards are determined by 
A) the Municipal Securities Rulemaking Board (MSRB) 
B) the National Adjudicatory Council (NAC) 
C) the Securities and Exchange Commission (SEC) 
D) the Uniform Securities Act (USA) - Answer️️ -B. the National Adjuicatory Council 
(NAC) 
It is the NAC that has the responsibility for determining membership eligibility standards 
for FINRA members. 
An individual applying for registrat...
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FINRA Practice SIE Exam Questions And Answers
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FINRA Practice SIE Exam Questions And Answers 
FINRA Practice SIE Exam 
 
 
The redemption value of an open-end investment company's shares is based on the: 
previous offering price 
previous closing NAV 
NAV computed after the order is received 
offering price computed after the order is received - ANS NAV computed after the order is received 
 
The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar basis? 
30/360 
30/365 
Actual/360 
Actual/365 -...
And that's how you make extra money
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FINRA SIE Exam Multiple Choice Questions Correct Answers Provided
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FINRA SIE Exam Multiple Choice Questions Correct Answers Provided 
 
FINRA SIE Exam Multiple Choice Questions Correct Answers Provided 
 
The redemption value of an open-end investment company's shares is based on the: 
A. previous offering price 
B. previous closing NAV 
C. NAV computed after the order is received 
D. offering price computed after the order is received 
The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar basis? 
A. 30/360 
B. 30/...
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FINRA SIE Exam (Answered 2022) Grade A+
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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...
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SIE Exam Unit 18 – Issues Questions and Answers | 100% Pass
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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...
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SIE: Regulations (FINRA Rules) Exam Practice Questions and Answers | 100% Pass
- Exam (elaborations) • 48 pages • 2024
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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...
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SIE Exam Unit 1 Questions with accurate answers. Latest update. 99% Verified.
- Exam (elaborations) • 10 pages • 2023
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SIE Exam Unit 1 Questions with accurate answers. Latest update. 99% Verified. 
 
 
 
The securities industry's primary regulatory body and created under what act? - -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. - -Self Regulatory organizations (SRO) 
 
what are the largest SROs - -Financial Industry Regulation Aut...
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