Sipc Guías de estudio, Notas de estudios & Resúmenes
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EXAMFX SIE Questions & Answers | 100% Correct Answers | Verified | Latest 2024 Version
- Examen • 33 páginas • 2024
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What is the maximum amount of SIPC coverage available to each separate customer? - $500,000 
including up to $250,000 in cash 
If a customer purchases securities and does not settle the account 4 business days, what should the 
brokerage firm do first? - Ask for an extension of time from the SRO or cancel the trade and sell off 
the purchased securities 
When must a customer who purchases securities in a cash or margin account pay for the securities? - 
4 business days 
What is the maximum insur...
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EXAMFX SIE| 270 QUESTIONS| WITH COMPLETE SOLUTIONS
- Examen • 44 páginas • 2023
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What is the maximum amount of SIPC coverage available to each separate customer? correct answer: $500,000 including up to $250,000 in cash 
 
If a customer purchases securities and does not settle the account 4 business days, what should the brokerage firm do first? correct answer: Ask for an extension of time from the SRO or cancel the trade and sell off the purchased securities 
 
When must a customer who purchases securities in a cash or margin account pay for the securities? correct answer...
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SIE PRACTICE EXAM
- Examen • 17 páginas • 2023
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The Securities & Exchange Commission (SEC) was created by Congress in 
 
A 1929 
 
B 1933 
 
C 1934 
 
D 1940 - Answer- 1934 
 
The Act of '34 created the SEC. 
 
The term 'disclaimer' is most often associated with 
 
 
A The fact that no agent can guarantee a customer against loss 
 
 
B The fact that unregistered securities are more risky than registered ones 
 
 
C The fact that the government cannot guarantee the accuracy of the information in a prospectus 
 
 
D None of the above - Answe...
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CFP EXAM 2024 WITH 100% ACCURATE SOLUTIONS
- Examen • 6 páginas • 2024
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CFP EXAM 2024 WITH 100% ACCURATE SOLUTIONS 
 
 
Savings Strategy: How much of your gross income should you save? - correct answer 5-8% 
 
Securities Act of 1933 - correct answer Purchasers of new issues must be provided with a detailed prospectus before transaction. 
 
Securities Act of 1934 - correct answer Regulates the secondary Market or trading of issued securities. This act created the SEC 
 
Investment Company Act of 1940 - correct answer SEC can regulate UITs, Mutual funds, and variable ...
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Annuity Suitability Certification Training Final Exam questions well answered 2024 /2025
- Examen • 15 páginas • 2024
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Annuity Suitability Certification Training Final ExamAn investor purchased a variable annuity from a financial adviser in her bank's investment services department. In the event of financial failure of the insurer, the annuity contract value is 
 
A. Protected by FDIC coverage 
B. Protected by SIPC coverage 
C. Protected by the state guaranty association 
D. Not protected - correct answer C. Protected by the state guaranty association 
 
Which of the following riders does NOT guarantee an incom...
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SIE: Regulations (FINRA Rules) Questions With Complete SOLUTION
- Examen • 43 páginas • 2023
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What is the U.S. Government agency that has enforcement authority over the U.S. securities markets? correct answer: SEC 
 
Both FINRA and the Securities and Exchange Commission (SEC) regulate and have enforcement capability over the U.S. securities markets and market participants. However, the SEC is a government agency, while FINRA is an SRO - a self-regulatory organization under SEC oversight. 
 
The Municipal Securities Rulemaking Board is another SRO that creates rules for municipal market ...
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CFP Exam questions with correct answers
- Examen • 8 páginas • 2023
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Savings Strategy: How much of your gross income should you save? CORRECT ANSWER 5-8% 
 
Securities Act of 1933 CORRECT ANSWER Purchasers of new issues must be provided with a detailed prospectus before transaction. 
 
Securities Act of 1934 CORRECT ANSWER Regulates the secondary Market or trading of issued securities. This act created the SEC 
 
Investment Company Act of 1940 CORRECT ANSWER SEC can regulate UITs, Mutual funds, and variable life insurance/annuities. 
 
Securities investment Prote...
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EXAMFX SIE UPDATED Exam Questions and CORRECT Answers
- Examen • 33 páginas • 2024
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What is the maximum amount of SIPC coverage available to each separate customer? - 
$500,000 including up to $250,000 in cash 
If a customer purchases securities and does not settle the account 4 business days, what 
should the brokerage firm do first? - Ask for an extension of time from the SRO or cancel 
the trade and sell off the purchased securities 
When must a customer who purchases securities in a cash or margin account pay for the 
securities? - 4 business days 
What is the maximum in...
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CFP Exam Questions & Answers 2024/2025
- Examen • 6 páginas • 2024
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CFP Exam Questions & Answers 2024/2025 
 
 
Savings Strategy: How much of your gross income should you save? - ANSWERS5-8% 
 
Securities Act of 1933 - ANSWERSPurchasers of new issues must be provided with a detailed prospectus before transaction. 
 
Securities Act of 1934 - ANSWERSRegulates the secondary Market or trading of issued securities. This act created the SEC 
 
Investment Company Act of 1940 - ANSWERSSEC can regulate UITs, Mutual funds, and variable life insurance/annuities. 
 
Securit...
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STC SIE EXAM FINAL PRACTICE
- Examen • 20 páginas • 2023
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Which of the following statements is TRUE concerning periodic payment variable annuities? 
 
A. A client's number of annuity units never changes 
B. A client's number of accumulation units never changes 
C. Annuity contracts never have a beneficiary 
D. The monthly payout is fixed by the inflation index - Answer- A. A client's number of annuity units never changes 
 
Which of the following securities would be subject to federal securities registration requirements? 
 
A. Securities offered th...
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