75 SIE Practice Exam Questions with Correct Answers 2023 Complete

75 SIE Practice Exam Questions with Correct Answers 2023 Complete. Which act created the SEC and empowered it with broad authority over all aspects of the securities industry? >>>Securities Exchange Act of 1934 A free tool provided by FINRA that is intended to help consumers research the professional backgrounds of brokers and brokerage firms, as well as investment advisor firms and advisors? >>>BrokerCheck The Federal Reserve Board performs what actions? >>>It sets monetary policy, but does not set tax policy An offering of shares to existing stockholders on a pro-rata basis is called a >>>Rights offering The difference between a bond's price and the conversion parity price is referred to as >>>conversion premium An individual who meets what criteria must register as an investment adviser? >>>The individual provides advice or analyses concerning securities The individual is in the business of providing investment advice The individual provides investment advice for compensation A type of preferred stock that gives the investor the right to receive dividends equal to the normally specified rate, as well as an additional dividend based on a specific predetermined condition is called a >>>participating preferred stock Profit sharing plans have what characteristic? >>>they can be invested entirely in company stock What is true regarding the Central Registration Depository (CRD)? >>>It was developed by NASAA and the NASD It consolidated a multiple paper-based state licensing and regulatory process into a single, nationwide computer system