FINRA SIE EXAM
GUIDE/COMPREHENSIVE STUDY
GUIDE | COMPLETE EXAM
QUESTIONS AND CORRECT
ANSWERS | ALREADY GRADED A+
| VERIFIED ANSWERS | LATEST
EXAM 2025
Save
Terms in this set (291)
What >25%
percentage of
stock Dividend
would be
considered a
stock split?
,5:4 forward split 300 x 5/4
with 300 shares 30 x ⅘
@ 30$
The right to keep proportional
Preemptive
ownership if more/less shares are
Rights
issued
short term security that gives owner
Preemptive
option to buy certain # of shares @
Rights Security
smaller price than market value
Preemptive Typically 30-60 days
Rights Security
length
Right to inspect records/books
Right to transfer ownership
Rights of
Preemptive right
Common stock
Divs
Owners
right to assets
Vote
Cash dividend
Items that don't
Stock dividend
require
Preemptive right security
shareholder vote
distribution
, Items that Split
require Preferred stock/bond creation
shareholder vote
Statutory Voting 1:1 PER POSITION voting
1:1 voting TOTAL
Cumulative
ADVANTAGE FOR SMALL
voting
INVESTOR
If Interest rates fall
Rise: Preferred
stock prices:
option to buy stock at fixed price,
usually above market price when
What are
the warrant is issued
Warrants
Attached to new stock/bonds as
incentive
Allows trading of foreign securities
American
in US
Depository
Priced in US dollars
Receipts (ADR)
Has Exchange Rate Risk
when every bond issued has same
Term bond issue
interest rate and maturity
every bond issued has DIFFERENT
Serial Bonds
interest and maturity dates
GUIDE/COMPREHENSIVE STUDY
GUIDE | COMPLETE EXAM
QUESTIONS AND CORRECT
ANSWERS | ALREADY GRADED A+
| VERIFIED ANSWERS | LATEST
EXAM 2025
Save
Terms in this set (291)
What >25%
percentage of
stock Dividend
would be
considered a
stock split?
,5:4 forward split 300 x 5/4
with 300 shares 30 x ⅘
@ 30$
The right to keep proportional
Preemptive
ownership if more/less shares are
Rights
issued
short term security that gives owner
Preemptive
option to buy certain # of shares @
Rights Security
smaller price than market value
Preemptive Typically 30-60 days
Rights Security
length
Right to inspect records/books
Right to transfer ownership
Rights of
Preemptive right
Common stock
Divs
Owners
right to assets
Vote
Cash dividend
Items that don't
Stock dividend
require
Preemptive right security
shareholder vote
distribution
, Items that Split
require Preferred stock/bond creation
shareholder vote
Statutory Voting 1:1 PER POSITION voting
1:1 voting TOTAL
Cumulative
ADVANTAGE FOR SMALL
voting
INVESTOR
If Interest rates fall
Rise: Preferred
stock prices:
option to buy stock at fixed price,
usually above market price when
What are
the warrant is issued
Warrants
Attached to new stock/bonds as
incentive
Allows trading of foreign securities
American
in US
Depository
Priced in US dollars
Receipts (ADR)
Has Exchange Rate Risk
when every bond issued has same
Term bond issue
interest rate and maturity
every bond issued has DIFFERENT
Serial Bonds
interest and maturity dates
