Finra Study guides, Class notes & Summaries
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FINRA Practice SIE Exam practice solution questions and answers
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FINRA SIE Practice Exam| 74 Questions| With Complete Solutions
- Exam (elaborations) • 25 pages • 2023
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In a period of low inflation and economic recession, the Federal Reserve is expected to take which of the following actions? 
 
A) Decrease Taxes 
B) Require banks to increase reserve 
C) Buy bonds in the open market correct answer: Buy bonds in the open market 
 
Under FINRA rules which of the following activities by a registered representative requires written notification to her firm? 
 
A) Gambling resulting in winnings in excess of $10,000 
B) Driving part time for a transportation netw...
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FINRA Practice SIE Exam – Questions & Answers
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FINRA Practice SIE Exam – Questions & Answers
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FINRA SIE Outline| 107 Questions| With Complete Solutions
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FINRA SIE Outline| 107 Questions| With Complete Solutions 
The Securities Act of 1933 correct answer: The Securities Act of 1933 focused on greater transparency for investors 
 
After the stock market crash of 1929, it was passed into law to protect investors. 
 
Greater financial transparency and accuracy and less fraud or manipulation. 
 
The legislation had two main goals: to ensure more transparency in financial statements so investors could make informed decisions about investments; and t...
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FINRA Practice SIE Exam| 73 Questions| With COMPLETE Solutions
- Exam (elaborations) • 21 pages • 2023
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The redemption value of an open-end investment company's shares is based on the: 
previous offering price 
previous closing NAV 
NAV computed after the order is received 
offering price computed after the order is received correct answer: NAV computed after the order is received 
 
The computation of dollar prices and accrued interest on municipal bonds is normal on what calendar basis? 
30/360 
30/365 
Actual/360 
Actual/365 correct answer: 30/360 
 
Blue-sky laws are regulated by which of t...
FINRA Practice SIE Exam Questions & Answers Already Graded A+
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SIE Practice Exam (FINRA) Study Questions and Answers Top Rated 2024 Graded A
- Exam (elaborations) • 34 pages • 2024
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Primary vs. Secondary Distribution 
A primary distribution involves a sale of newly issued shares by the issuer while a secondary distribution involved the sale of already issued and outstanding shares. 
In the OTC market, the term "spread" refers to the diff. between: 
 
Bid and asked prices 
offered and asked prices 
indicated and firm prices 
opening and closing prices 
Bid and asked prices 
Margin account requirements: 
Initial transaction: 50% or min. of $2,000 
 
Maintenance Margin: 25% ...
FINRA PRACTICE SIE EXAM ACTUAL QUESTIONS AND ANSWERS LATEST UPDATE
FINRA SIE Exam Questions and Correct Answers 2024
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SIE FINRA Exam – Questions And Answers
- Exam (elaborations) • 14 pages • 2024
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SIE FINRA Exam – Questions And Answers
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