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SIE Practice Exam Questions and Answers 100% Pass What advantages can investors gain by purchasing company shares? An increase in share value Receiving dividends from company profits What is the term for an offering where existing shareholders sell their shares to the public for the first time? A secondary offering Which of the following represents a debt security without collateral backing? Debenture Income bond What do we call mutual funds that are sold directly to i...

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SIE Practice Exam Questions and Answers Already Passed Which type of shareholder voting method ensures that each share counts as one vote and requires that votes be distributed evenly among all candidates? Statutory voting What is the term for the market where securities listed on exchanges are traded directly over-the- counter, providing large institutional investors with direct transaction options, liquidity, and privacy? Third market If an investor sells a naked call option o...

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SIE Exam- Unit 1 (Knowledge of Capital Markets) Questions and Answers 100% Pass What is the primary regulatory body for the securities industry? The Securities and Exchange Commission (SEC) serves as the principal regulatory authority overseeing the securities industry. Which legislation established the SEC? The Securities Exchange Act of 1934 was the legislation that established the SEC. Why is it necessary to register with the SEC? If you engage in securities transactions with cust...

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