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SIE Exam flashcards

OLD_Shayan's Best SIE Exam Practice Test

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 (14)

Chapter 1 - Equity Securities
No par value stock is characteriz...,
Abc corporation will elect 2 memb...,
Treasury stock is best characteri...
78  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...
95  cards
Chapter 3 - Types of Bonds
An investor would receive an offi...,
Which one of the following is not...,
In a corporate liquidation which ...
42  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...
21  cards
Chapter 5 - Other Managed Products
Which of the following companies ...,
All of the following are characte...,
An investment in a private equity...
15  cards
Chapter 6 - Options
An individual who writes an uncov...,
Two options contracts would be in...,
An investor believes abc stock wi...
26  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...
62  cards
Chapter 8 - Issuing Securities
All of the following individuals ...,
Which two of the following statem...,
Sec rule 145 addresses the a fina...
87  cards
Chapter 9 - The Secondary Market and Equity Trading
According to industry rules broke...,
Abc co is seeking to have its sec...,
Which of the following securities...
65  cards
Chapter 10 - Economics and Monetary Policy
A normal yield curve depicts that...,
Nonagricultural employment is wha...,
Which of the following is a commo...
65  cards
Chapter 11 - Customer Accounts
In order to execute a short sale ...,
For an equity trade which of the ...,
Paul s broker recommends that he ...
79  cards
Chapter 12 - Tax-Advantaged Accounts and Products
Which of the following is an exam...,
In a 401 k with a roth account op...,
Which of the following statements...
80  cards
Chapter 13 - FINRA Registration
All of the following statements a...,
The firm element of continuing ed...,
In administering regulatory eleme...
82  cards
Chapter 14 - Business Conduct Rules
Which two of the following docume...,
For communications with the publi...,
A firm must report to finra a cha...
84  cards

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OLD_Shayan's Best SIE Exam Practice Test

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