Free SIE Exam Online Practice Test 20

1. A shelf registration is best described as

2. How many consecutive quarters must GDP growth be negative in order for the US economy to be considered to be in recession?

3. A customer wants to exchange her US Dollars for Euros. What will determine how many Euros she receives for her Dollars?

4. Which of the following must be included in a final prospectus of a new issue?

5. What is a call option writer's risk?

6. Which of the following is issued by a GSE?

7. The amount that is paid for a call vertical spread is the difference between

8. Common stockholders do not have the right to vote on which of the following issues?

9. All qualified dividends for ordinary income earners are:

10. Your customer wants to invest in a conservative income-producing investment and is inquiring about GNMAs. She wants to know the minimum dollar amount required to purchase a pass-through certificate. You should tell her:

11. The state of Texas is seeking to raise $500 million through the sale of general obligation bonds. Which of the following will support the repayment of the bond issue?

12. When making markets over the counter, the firm is acting in what capacity?

13. An investor is long 1000 shares of at $30 per share. To gain the maximum protection he should:

14. A mutual fund would be offered at a premium to its value if it's a:

15. Creating false activity in a security to attract new purchases is a fraudulent practice known as:

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