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SIE > Starting deck > Flashcards

Starting deck Flashcards

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SIE Exam flashcards
1
Q

What is an issuer

A

someone who issues a security to the public to raise money

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2
Q

Examples of issuers

A

corporations
city/state
Gov

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3
Q

What is a broker dealer

A

a firm that affect securities transactions

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4
Q

What is a market maker

A

a buy and seller of securities to stabilize a market

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SIE (17 decks)

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