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SIE Exam flashcards

A) 1-7: SIE Practice Exam

This class was created by Brainscape user shayan modjtehedi. Visit their profile to learn more about the creator.

By: shayan modjtehedi
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Decks in this class (7)

Chapter 1 - Equity Securities
No par value stock is characteriz...,
Abc corporation will elect 2 memb...,
Treasury stock is best characteri...
69  cards
Chapter 2 - Debt Securities
A bond that was yielding 365 yest...,
When a bond s market price increa...,
A corporate bond that is currentl...
98  cards
Chapter 3 - Types of Bonds
An investor would receive an offi...,
Which one of the following is not...,
In a corporate liquidation which ...
56  cards
Chapter 4 - Investment Company Securities
When is a mutual fund allowed to ...,
Open end and closed end company i...,
Intra day trading is available fo...
38  cards
Chapter 5 - Other Managed Products
Which of the following companies ...,
Which of the following companies ...,
Which of the following companies ...
76  cards
Chapter 6 - Options
An individual who writes an uncov...,
Two options contracts would be in...,
An investor believes abc stock wi...
115  cards
Chapter 7 - Suitability and Investment Risks
An institutional account may be a...,
A customer with an income objecti...,
An airline is involved in a scand...
69  cards

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A) 1-7: SIE Practice Exam

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