SIE Knowledge of Capital Markets Practice Test 1

1. Which of the following is the main reason the Securities Act was enacted?

2. Which of the following best describes the role of self-regulatory organizations (SROs)?

3. Which of the following is the primary role of the Department of the Treasury?

4. Which of the following takes orders from a client and passes the order to an entity that is qualified to match the buy order with a sell order from another person?

5. Which of the following is a function of the Options Clearing Corporation?

6. Which of the following describes the fourth market (dark pools)?

7. Which of the following is a method by which the Federal Reserve implements monetary policy?