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SIE practice exam2022/2023

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A customer writes an MMM January 70 put at 6. The maximum potential gain on this position is 600 Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is 7300 ... Large time deposits of more than $100,000 are considered to be found in what part of the money supply? M3 By purchasing shares of stock in a company, investors can benefit from which of the following? An increase in the price of the shares An increase in price of the company's debt securities An increase in the yield of the company's outstanding debt securities The receipt of profits to be distributed An Increase in price of shares and The receipts of profit to be distributed An offering in which one or more stockholders in the corporation are selling all or a portion of their own shares to the investing public for the first time is known as a secondary offering Which of the following is an example of an unsecured debt security? Debenture Preferred stock Mortgage bond Income bond Debenture and Income bond Mutual funds that market directly to the public, using no underwriter and charging no sales charge, are called No load funds During the cooling-off period, underwriters of new securities may accept orders to purchase shares not accept orders to purchase shares not accept indications of interest regarding potential purchases of shares accept indications of interest regarding potential purchases of shares not accept orders to purchase shares and accept indications of interest regarding potential purchase of shares The USA PATRIOT Act's required Customer Identification Program is designed chiefly to prevent real estate fraud funding of terrorist activities use of insider information money laundering funding of terrorist activity and money laundering The firm element of a broker-dealer's continuing education requirement must be undergone by all registered persons who have direct contact with the public An August 15 call is written at 4. The call expires without being exercised by the owner. The writer of the call keeps the $400 received when the call was written A mutual fund can offer all of the following to investors EXCEPT physical custody of the fund's portfolio cash and securities In an LP, which of the following is TRUE? The partnership entity is not responsible for paying taxes on gains MAS Corporation has enjoyed an extremely profitable year. It has been determined that those owning the MAS 4% preferred, participating to 6% preferred shares, will receive the full participating dividend. The participating shareholders will receive an additional dividend of 2% [Show More]

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