Free SIE Exam Online Practice Test 19

1. FINRA has promulgated various rules and procedures pertaining to the operation of broker-dealers and departments within member firms. The M&A Department:

2. Mitigation of the risk of loss in a bearish market can be achieved by customers with vulnerable long stock positions placing:

3. All investors with short option positions:

4. All of the following are full disclosure documents used in the sale of securities with the exception of:

5. SIPC is an insurance organization designed to protect investors against loss:

6. Registered persons must complete the regulatory element of their continuing education within ____ of their second anniversary and every ____ years thereafter.

7. For a call option, the strike price is:

8. At withdrawal, pre-tax contributions and earnings in a traditional IRA are:

9. A particular issuer of bonds chooses to engage a managing underwriter under a negotiated, firm-commitment underwriting contract. The underwriter chooses to sell the bonds using a selling group rather than a syndicate. Who bears the financial risk of unsold bonds?

10. Which of the following pay interest on a semiannual basis?

11. What is the tax status of Keogh plans?

12. Which of the following is the best hedge against inflation?

13. What is the maximum maturity for commercial paper?

14. All of the following are true of the syndicate when bringing a new equity security to the market EXCEPT

15. A broker-dealer just sold some stock out of its own inventory to a customer. The firm

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