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SIE STUDY GUIDE QUESTIONS WITH COMPLETE ANSWERS

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SIE STUDY GUIDE QUESTIONS WITH COMPLETE ANSWERS

Institution
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Institution
Course

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Uploaded on
April 17, 2025
Number of pages
107
Written in
2024/2025
Type
Exam (elaborations)
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Buying in puts and calls=


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going long




Computing the Sales Charge Percentage

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1)POP - NAV = sales charge ($ amount)


2)Sales charge ($ amount)/ POP = sales charge %


3)(NAV)/100$-sales charge % = POP




Right of Accumulation (ROA)
pg 189 for ex


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like LOI, allow investor qualify for reduced sales hargeby reaching
breakpoint

allow investor use prior share appreciation & reinvestment to qualify for
breakpoints


do not impose limits




All qualified retirement plans are either....?


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defined benefit or defined contribution




SAR (Suspicious Activity Report)
deadline to file?

,protection?
amount limit?


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must file w treasury departments financial crimes enforcement network
(Fin(EN)) whenever customer activity appears out of ordinary or illegal

30 calendar days
protected from civil liability
required 2 file suspicious 2,000+




investment grade bonds must be


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atleast Baa, BBB




Are REITs DPP?


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NOOOO




Income Statement


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shows account profit/loss for period

, revenues/expenses profits/loss




Primary Market
regulated by which act?


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new issue market
issuer benefits from sales
securities sold at fixed price
physical location necessary (EX. NASDAQ

regulatd by securities act 1933




Continuing Education
Regulatory Element


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All registered persons are required to participate in Regulatory element
training on the within 120 days of second anniversary of their initial
securities registration and every three years hereafter.

if not completed license become inactive




Underwriting Syndicate


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