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Exam (elaborations)

SIE EXAM DEFINITIONS QUESTIONS WITH COMPLETE ANSWERS

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SIE EXAM DEFINITIONS QUESTIONS WITH COMPLETE ANSWERS

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Uploaded on
April 17, 2025
Number of pages
323
Written in
2024/2025
Type
Exam (elaborations)
Contains
Questions & answers

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1 of 573

Definition



a mutual fund of well-established equity companies that pay
significant dividends.



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Blend Funds Introducing Broker




Straight Bond Income Fund

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2 of 573

Definition



a type of investment risk associated with changes or instability in the
local or national government.



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At The Money Management Company




Straight Bond Political Risk


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3 of 573

Definition



a mandatory call in which a bond issuer must put a portion of its
earnings into an escrow account (sinking fund) to enable the bond's
redemption at either a specified point in time or when the sinking
fund reaches a specified amount.



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, Sinking Fund Redemption New Customer Account Form




Municipal Fund Security Secondary Offering


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4 of 573

Definition



an MSRB provision that bans municipal finance professionals from
soliciting business with entities to which they have made political
contributions within a specified period, even previous to their
current employment.



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Look-back Provision Complex Trust




Balance of Payments Direct Registration


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, 5 of 573

Definition



an order to buy or sell a security at a specified price or better.



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Limit Order Cyclical Stocks




Qualified Retirement Plan Progressive Tax System


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6 of 573

Definition



an SEC rule that allows an exemption from registration for intrastate
offerings.



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Loan Consent Agreement Integration




Rule 147 Partnership Agreement


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