SIE Exam Online Practice Test 11

1. Which of the following are considered institutional investors?

2. What is the time-of-day restriction when placing cold calls (telemarketing)?

3. Which of the following would be considered a breakpoint sale?

4. Which of the following are prohibited activities?

5. Which of the following is not a general consideration regarding communications with the public about variable life insurance and variable annuities?

6. Which of the following is true regarding recommendations?

7. When must a Form U5 be filed?

8. When must political contributions be disclosed to the MSRB?

9. Which of the following is false regarding options-related advertisements?

10. Before a registered representative may recommend the purchase or exchange of a deferred variable annuity, he or she must have a reasonable basis to believe all of the following except:

11. A member may not publish a research report regarding a subject company for which the member acted as manager or co-manager of a secondary offering for _________ days following the date of the offering.

12. Which of the following must be disclosed in a research report?

13. What is the tentative prospectus circulated by the underwriters of a new of stock that is pending approval the SEC?

14. Beginning in TY 2020, what is the basic exclusion limit on tax-free transfers during life or at death (the unification of gift and estate taxes)?

15. What is the cost basis of securities given as a gift?

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