Free SIE Exam Online Practice Test 17

1. Accumulation units are most often associated with:

2. One of the most frequently issued money market instruments is commercial paper. Typically, this investment has a maximum maturity:

3. The Securities Industry Essentials examination gives a candidate

4. Certain securities are marginable under Regulation T of the Securities & Exchange Act of 1934 except:

5. When an investor is bearish on the broad stock market

6. A customer wishes to liquidate 100 shares of ABC common at the market. If the current inside market is 904.78 – 905.57, the client's transaction will occur disregarding commissions and other charges at

7. A market maker is obligated

8. The spread between bid and offer

9. The so-called 5% policy pertains to

10. The principal difference between a selling syndicate and a selling group would be:

11. Stabilizing is a term generally used in Wall Street to refer to the practice of:

12. Regulation SHO severely restricts short selling during the cooling offer period of a follow-on offering. Which of the below is true?

13. The maximum coverage offered per separate customer under SIPC insurance was set by Congress at:

14. Recommending a limited partnership DPP investment to a customer would be a defendable recommendation for a client:

15. When growth is the principal objective of the investor, each of the below could be suitable except: