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75 SIE Practice Exam Questions with Correct Answers

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75 SIE Practice Exam Questions with Correct Answers Which corporate voting procedures entitles a shareholder to one vote per share, and votes must be divided evenly among the candidates being voted... on? >>>Statutory voting What market refers to the trading of exchange-listed securities in the over-the-counter market? These trades allow institutional investors to trade blocks of securities directly, rather than through an exchange, providing liquidity and anonymity to buyers. >>>Third market An investor sells a naked call on Omikron for a $250 premium. What is true regarding the investors position? >>>The investor's potential loss is unlimited Which act created the SEC and empowered it with broad authority over all aspects of the securities industry? >>>Securities Exchange Act of 1934 A free tool provided by FINRA that is intended to help consumers research the professional backgrounds of brokers and brokerage firms, as well as investment advisor firms and advisors? >>>BrokerCheck The Federal Reserve Board performs what actions? >>>It sets monetary policy, but does not set tax policy An offering of shares to existing stockholders on a pro-rata basis is called a >>>Rights offering The difference between a bond's price and the conversion parity price is referred to as >>>conversion premium An individual who meets what criteria must register as an investment adviser? >>>The individual provides advice or analyses concerning securities The individual is in the business of providing investment advice The individual provides investment advice for compensation A type of preferred stock that gives the investor the right to receive dividends equal to the normally specified rate, as well as an additional dividend based on a specific predetermined condition is called a >>>participating preferred stock Profit sharing plans have what characteristic? >>>they can be invested entirely in company stock What is true regarding the Central Registration Depository (CRD)? >>>It was developed by NASAA and the NASD It consolidated a multiple paper-based state licensing and regulatory process into a single, nationwide computer system [Show More]

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