Free SIE Exam Online Practice Test 16

1. The Securities & Exchange Commission (SEC) was created by Congress in

2. The term 'disclaimer' is most often associated with

3. SIPC, the securities investor protection corporation is:

4. In most cases, Federal Securities Laws:

5. Which of the following are not considered money market securities?

6. When a corporation goes public, it is issuing:

7. The term 'issuer' most often refers to:

8. Every publicly-traded corporation is required to have a transfer agent and a registrar. The primary distinction between the two is:

9. One of the more attractive features of common stock is that:

10. When the market price of a company's common stock has reached triple digits ($100 or above), the Board of Directors may elect to declare which of the below to make the shares more affordable?

11. When a corporate Board announces a 10% stock dividend, shareholders know they will be receiving:

12. Boards of Directors in the publicly-traded sphere are elected by corporate stockholders, using which of the following methods?

13. Call option contracts are considered to have intrinsic value:

14. Reinvestment risk is least present in:

15. All of the below are typical features of an ETF except: