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SIE Study Sets > SIE 1.2 > Flashcards

SIE 1.2 Flashcards

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SIE Exam flashcards
1
Q

exchange market

A

composed of the NYSE and other exchanges where securities are traded

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2
Q

auction market

A

AKA exchange market

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3
Q

listed security

A

any security listed for trading on an exchange

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4
Q

Underwriter

A
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5
Q

Broker

A
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6
Q

Agent

A
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7
Q

Dealer

A
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SIE Study Sets (2 decks)

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