FINRA SIE Practice Test 5

1. What is the buying power in a margin account?

2. If an investor writes a covered call and wishes to close the transaction, he needs to enter which of the following trades:

3. All of the following are true of an investor's rights in a rights offering except that

4. Which of the following describe characteristics of a shareholder's preemptive rights?

5. Which of the following terms can be described as the day the decision is made by the corporation's board of directors to provide the common stockholders with a dividend?

6. What are some characteristics of preferred stock?

7. All of the following are true of the transferability of securities except that

8. Of the different types of preferred stock, which one has the feature of enabling its owner to receive both the preferred and common dividend?

9. Of the following, which is the LEAST likely to be utilized by economists in analyzing the overall condition of the economy?

10. The stock market will be negatively impacted by all of the following except

11. When considering the four stages of an economic business cycle, which of the following are characteristics of the expansion stage?

I. Decline in savings

II. Real estate prices on the rise

III. An increase in gross domestic product (GDP)

IV. Rise in inventories

12. Which of the following is an example of a company in the defensive sector?

13. What does a buy limit order do?

14. A specialist can handle all of the following types of orders except for

15. What does security arbitrage involve?

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