SIE Practice Exam question with 100% correct answers 2023 updated

SIE Practice Exam question with 100% correct answers 2023 updatedWhich corporate voting procedures entitles a shareholder to one vote per share, and votes must be divided evenly among the candidates being voted on? - correct answer Statutory voting What market refers to the trading of exchange-listed securities in the over-the-counter market? These trades allow institutional investors to trade blocks of securities directly, rather than through an exchange, providing liquidity and anonymity to buyers. - correct answer Third market An investor sells a naked call on Omikron for a $250 premium. What is true regarding the investors position? - correct answer The investor's potential loss is unlimited Which act created the SEC and empowered it with broad authority over all aspects of the securities industry? - correct answer 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? - correct answer BrokerCheck The Federal Reserve Board performs what actions? - correct answer 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 - correct answer Rights offering The difference between a bond's price and the conversion parity price is referred to as - correct answer conversion premium An individual who meets what criteria must register as an investment adviser? - correct answer The individual provides advice or analyses concerning securities