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SIE practice exam Questions and Answers

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A customer writes an MMM January 70 put at 6. The maximum potential gain on this position is : 600 Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is : 7300 Large time deposits of more than $100,000 are considered to be found in what part of the money supply? : M3 By purchasing shares of stock in a company, investors can benefit from which of the following? An increase in the price of the shares An increase in price of the company's debt securit...

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A corporation can avoid registration requirements in the issuance of securities by engaging in a price placement under : Regulation D All of the Following are difference between qualified and non qualified retirement plans EXCEPT : - IRS approval requirement - TAXATION ON ACCUMULATION - Taxation on withdrawals - Taxation on contribution The term for active stock that represents the number of shares owned by the public is : Outstanding stock All of the following are characteristics o...

The Securities & Exchange Commission (SEC) was created by Congress in A 1929 B 1933 C 1934 D 1940 - Answer- 1934 The Act of '34 created the SEC. The term 'disclaimer' is most often associated with A The fact that no agent can guarantee a customer against loss B The fact that unregistered securities are more risky than registered ones C The fact that the government cannot guarantee the accuracy of the information in a prospectus D None of the above - Answe...

SIE Practice Exam With complete solutions latest update 2024

85 SIE Practice Exam Questions with Correct Answers

SIE practice exam With complete solutions latest update